First Trust STOXX® European Select Dividend Index Fund (FDD) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.1% | ||||||
Austria — 3.0% | ||||||
145,350 | OMV AG | $ | 8,267,551 | |||
Belgium — 7.1% | ||||||
152,809 | Ageas S.A./N.V. | 8,479,826 | ||||
575,273 | Proximus SADP | 11,111,872 | ||||
19,591,698 | ||||||
Finland — 5.7% | ||||||
325,435 | Fortum OYJ | 8,975,654 | ||||
173,152 | Nokian Renkaat OYJ | 6,990,960 | ||||
15,966,614 | ||||||
France — 9.7% | ||||||
98,394 | Covivio | 8,414,271 | ||||
1,003,732 | Orange S.A. | 11,443,509 | ||||
112,478 | Publicis Groupe S.A. | 7,194,004 | ||||
27,051,784 | ||||||
Germany — 19.6% | ||||||
31,392 | Allianz SE | 7,827,993 | ||||
518,240 | alstria office REIT-AG | 9,580,081 | ||||
101,616 | Bayerische Motoren Werke AG (Preference Shares) | 9,133,210 | ||||
91,371 | Deutsche Post AG | 6,214,550 | ||||
192,365 | Evonik Industries AG | 6,450,563 | ||||
60,773 | Porsche Automobil Holding SE (Preference Shares) | 6,511,470 | ||||
271,731 | TAG Immobilien AG | 8,622,187 | ||||
54,340,054 | ||||||
Italy — 12.5% | ||||||
269,261 | Assicurazioni Generali S.p.A. | 5,397,353 | ||||
712,360 | Poste Italiane S.p.A. (b) (c) | 9,418,170 | ||||
1,808,672 | Snam S.p.A. | 10,455,061 | ||||
17,938,976 | Telecom Italia S.p.A. | 9,503,924 | ||||
34,774,508 | ||||||
Luxembourg — 3.0% | ||||||
312,501 | Grand City Properties S.A. | 8,441,066 | ||||
Netherlands — 4.1% | ||||||
244,130 | NN Group N.V. | 11,515,375 | ||||
Sweden — 3.2% | ||||||
651,654 | Tele2 AB, Class B | 8,878,473 | ||||
Switzerland — 10.3% | ||||||
155,014 | Holcim Ltd. | 9,298,327 | ||||
14,064 | Swiss Life Holding AG | 6,834,017 | ||||
318,168 | UBS Group AG | 4,869,234 | ||||
18,796 | Zurich Insurance Group AG | 7,540,746 | ||||
28,542,324 | ||||||
United Kingdom — 20.9% | ||||||
868,844 | GlaxoSmithKline PLC | 17,059,346 | ||||
1,059,139 | IG Group Holdings PLC | 12,409,438 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United Kingdom (Continued) | ||||||
3,839,036 | Legal & General Group PLC | $ | 13,679,928 | |||
711,926 | SSE PLC | 14,777,012 | ||||
57,925,724 | ||||||
Total Common Stocks — 99.1% | 275,295,171 | |||||
(Cost $240,732,987) | ||||||
Money Market Funds — 0.1% | ||||||
188,907 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 0.01% (d) | 188,907 | ||||
(Cost $188,907) | ||||||
Total Investments — 99.2% | 275,484,078 | |||||
(Cost $240,921,894) (e) | ||||||
Net Other Assets and Liabilities — 0.8% | 2,282,451 | |||||
Net Assets — 100.0% | $ | 277,766,529 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(c) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(d) | Rate shown reflects yield as of June 30, 2021. |
First Trust STOXX® European Select Dividend Index Fund (FDD) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
(e) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $39,927,788 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $5,365,604. The net unrealized appreciation was $34,562,184. |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): |
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |||||||||
Common Stocks* | $ | 275,295,171 | $ | — | $ | — | |||||
Money Market Funds | 188,907 | — | — | ||||||||
Total Investments | $ | 275,484,078 | $ | — | $ | — | |||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Financials | 32.0 | % | ||
Communication Services | 17.5 | |||
Real Estate | 12.7 | |||
Utilities | 12.4 | |||
Consumer Discretionary | 8.2 | |||
Health Care | 6.2 | |||
Materials | 5.7 | |||
Energy | 3.0 | |||
Industrials | 2.3 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
Euro | 65.3 | % | ||
British Pound Sterling | 21.0 | |||
Swiss Franc | 10.4 | |||
Swedish Krona | 3.2 | |||
United States Dollar | 0.1 | |||
Total | 100.0 | % | ||
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund (FFR) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.4% | ||||||
Australia — 3.3% | ||||||
196,196 | BGP Holdings PLC (b) (c) (d) (e) (f) | $ | 0 | |||
9,788 | BWP Trust | 31,271 | ||||
9,175 | Centuria Industrial REIT | 25,597 | ||||
10,718 | Charter Hall Long Wale REIT | 38,180 | ||||
9,751 | Charter Hall Retail REIT | 27,789 | ||||
28,519 | Cromwell Property Group | 18,714 | ||||
21,655 | Dexus | 173,283 | ||||
39,219 | GPT Group (The) | 144,120 | ||||
5,967 | Ingenia Communities Group | 27,476 | ||||
79,191 | Mirvac Group | 173,417 | ||||
22,941 | National Storage REIT | 34,065 | ||||
104,403 | Scentre Group | 214,534 | ||||
21,714 | Shopping Centres Australasia Property Group | 41,037 | ||||
48,020 | Stockland | 167,819 | ||||
75,845 | Vicinity Centres | 87,880 | ||||
15,801 | Waypoint REIT | 31,047 | ||||
1,236,229 | ||||||
Austria — 0.2% | ||||||
1,499 | CA Immobilien Anlagen AG | 62,477 | ||||
Belgium — 1.1% | ||||||
723 | Aedifica S.A. | 95,417 | ||||
104 | Ascencio | 5,938 | ||||
432 | Befimmo S.A. | 17,160 | ||||
593 | Cofinimmo S.A. | 90,284 | ||||
460 | Intervest Offices & Warehouses N.V. | 12,463 | ||||
49 | Leasinvest Real Estate S.C.A. | 3,904 | ||||
242 | Montea N.V. | 28,466 | ||||
203 | Retail Estates N.V. | 16,488 | ||||
2,800 | Warehouses De Pauw C.V.A. | 106,907 | ||||
405 | Xior Student Housing N.V. (g) | 24,396 | ||||
401,423 | ||||||
Bermuda — 0.3% | ||||||
23,317 | Hongkong Land Holdings Ltd. | 110,989 | ||||
Canada — 3.0% | ||||||
2,527 | Allied Properties Real Estate Investment Trust | 91,837 | ||||
2,106 | Artis Real Estate Investment Trust | 19,045 | ||||
760 | Boardwalk Real Estate Investment Trust | 25,064 | ||||
3,437 | Canadian Apartment Properties REIT | 161,147 | ||||
4,323 | Chartwell Retirement Residences | 46,208 | ||||
5,135 | Choice Properties Real Estate Investment Trust | 59,196 | ||||
3,354 | Cominar Real Estate Investment Trust | 29,573 | ||||
1,856 | Crombie Real Estate Investment Trust | 26,561 | ||||
3,607 | Dream Industrial Real Estate Investment Trust | 44,462 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Canada (Continued) | ||||||
744 | Dream Office Real Estate Investment Trust | $ | 13,780 | |||
4,354 | First Capital Real Estate Investment Trust | 61,819 | ||||
1,162 | Granite Real Estate Investment Trust | 77,317 | ||||
5,661 | H&R Real Estate Investment Trust | 73,069 | ||||
2,592 | InterRent Real Estate Investment Trust | 35,254 | ||||
2,046 | Killam Apartment Real Estate Investment Trust | 33,456 | ||||
3,350 | NorthWest Healthcare Properties Real Estate Investment Trust | 34,403 | ||||
6,363 | RioCan Real Estate Investment Trust | 113,339 | ||||
2,604 | SmartCentres Real Estate Investment Trust | 61,697 | ||||
3,119 | Summit Industrial Income REIT | 44,712 | ||||
3,754 | Tricon Residential, Inc. | 43,185 | ||||
1,369 | WPT Industrial Real Estate Investment Trust | 24,820 | ||||
1,119,944 | ||||||
Cayman Islands — 1.4% | ||||||
47,819 | CK Asset Holdings Ltd. | 330,113 | ||||
33,533 | Wharf Real Estate Investment Co., Ltd. | 194,997 | ||||
525,110 | ||||||
Finland — 0.3% | ||||||
1,544 | Citycon OYJ | 13,154 | ||||
3,922 | Kojamo OYJ | 89,615 | ||||
102,769 | ||||||
France — 1.1% | ||||||
784 | Carmila S.A. | 10,746 | ||||
1,007 | Covivio | 86,115 | ||||
1,037 | Gecina S.A. | 158,867 | ||||
639 | ICADE | 55,160 | ||||
3,697 | Klepierre S.A. | 95,258 | ||||
1,231 | Mercialys S.A. | 14,903 | ||||
421,049 | ||||||
Germany — 4.1% | ||||||
3,579 | alstria office REIT-AG | 66,161 | ||||
1,027 | Deutsche EuroShop AG | 24,355 | ||||
6,922 | Deutsche Wohnen SE | 423,355 | ||||
1,421 | Hamborner REIT AG | 15,129 | ||||
1,452 | LEG Immobilien SE | 209,101 | ||||
2,539 | TAG Immobilien AG | 80,564 | ||||
146 | TLG Immobilien AG | 4,830 | ||||
11,393 | Vonovia SE | 736,523 | ||||
1,560,018 | ||||||
Guernsey — 0.2% | ||||||
4,825 | BMO Real Estate Investments Ltd. | 4,739 |
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund (FFR) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Guernsey (Continued) | ||||||
7,401 | Regional REIT Ltd. (g) (h) | $ | 8,784 | |||
9,879 | Schroder Real Estate Investment Trust Ltd. | 6,669 | ||||
19,468 | Sirius Real Estate Ltd. | 29,784 | ||||
7,984 | Standard Life Investment Property Income Trust Ltd. | 7,731 | ||||
57,707 | ||||||
Hong Kong — 3.8% | ||||||
40,050 | Champion REIT | 22,541 | ||||
41,072 | Hang Lung Properties Ltd. | 99,767 | ||||
25,735 | Henderson Land Development Co., Ltd. | 121,975 | ||||
12,488 | Hysan Development Co., Ltd. | 49,779 | ||||
41,830 | Link REIT | 405,408 | ||||
28,790 | New World Development Co., Ltd. | 149,618 | ||||
69,656 | Sino Land Co., Ltd. | 109,809 | ||||
28,532 | Sun Hung Kai Properties Ltd. | 425,171 | ||||
21,230 | Swire Properties Ltd. | 63,299 | ||||
1,447,367 | ||||||
Ireland — 0.1% | ||||||
13,324 | Hibernia REIT PLC | 19,591 | ||||
8,904 | Irish Residential Properties REIT PLC | 16,069 | ||||
35,660 | ||||||
Israel — 0.2% | ||||||
2,964 | Amot Investments Ltd. | 19,438 | ||||
736 | Azrieli Group Ltd. | 51,811 | ||||
71,249 | ||||||
Italy — 0.0% | ||||||
1,312 | Immobiliare Grande Distribuzione SIIQ S.p.A. | 6,316 | ||||
Japan — 10.7% | ||||||
14 | Activia Properties, Inc. | 66,286 | ||||
26 | Advance Residence Investment Corp. | 86,593 | ||||
2,423 | AEON Mall Co., Ltd. | 37,317 | ||||
31 | AEON REIT Investment Corp. | 45,902 | ||||
13 | Comforia Residential REIT, Inc. | 40,956 | ||||
41 | Daiwa House REIT Investment Corp. | 120,865 | ||||
5 | Daiwa Office Investment Corp. | 34,790 | ||||
40 | Daiwa Securities Living Investments Corp. | 43,494 | ||||
10 | Frontier Real Estate Investment Corp. | 46,717 | ||||
15 | Fukuoka REIT Corp. | 25,249 | ||||
19 | Global One Real Estate Investment Corp. | 21,412 | ||||
83 | GLP J-REIT | 143,146 | ||||
17 | Heiwa Real Estate REIT, Inc. | 26,779 | ||||
4 | Hoshino Resorts REIT, Inc. | 24,304 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Japan (Continued) | ||||||
7,267 | Hulic Co., Ltd. | $ | 81,766 | |||
24 | Hulic REIT, Inc. | 40,419 | ||||
24 | Ichigo Office REIT Investment Corp. | 21,344 | ||||
39 | Industrial & Infrastructure Fund Investment Corp. | 74,388 | ||||
173 | Invesco Office J-REIT, Inc. | 35,333 | ||||
99 | Invincible Investment Corp. | 38,140 | ||||
25 | Japan Excellent, Inc. | 35,735 | ||||
90 | Japan Hotel REIT Investment Corp. | 53,954 | ||||
17 | Japan Logistics Fund, Inc. | 51,109 | ||||
138 | Japan Metropolitan Fund Invest | 149,558 | ||||
17 | Japan Prime Realty Investment Corp. | 66,565 | ||||
26 | Japan Real Estate Investment Corp. | 159,845 | ||||
8 | Kenedix Office Investment Corp. | 56,384 | ||||
19 | Kenedix Residential Next Investment Corp. | 41,063 | ||||
12 | Kenedix Retail REIT Corp. | 32,459 | ||||
35 | LaSalle Logiport REIT | 59,103 | ||||
22,842 | Mitsubishi Estate Co., Ltd. | 369,374 | ||||
8 | Mitsubishi Estate Logistics REIT Investment Corp. | 35,393 | ||||
18,453 | Mitsui Fudosan Co., Ltd. | 427,378 | ||||
10 | Mitsui Fudosan Logistics Park, Inc. | 53,288 | ||||
32 | Mori Hills REIT Investment Corp. | 47,988 | ||||
20 | Mori Trust Sogo REIT, Inc. | 28,282 | ||||
10 | Nippon Accommodations Fund, Inc. | 57,698 | ||||
30 | Nippon Building Fund, Inc. | 187,137 | ||||
45 | Nippon Prologis REIT, Inc. | 143,188 | ||||
9 | NIPPON REIT Investment Corp. | 36,982 | ||||
2,320 | Nomura Real Estate Holdings, Inc. | 58,848 | ||||
90 | Nomura Real Estate Master Fund, Inc. | 144,282 | ||||
26 | NTT UD REIT Investment Corp. | 38,405 | ||||
53 | Orix JREIT, Inc. | 101,997 | ||||
80 | Sekisui House REIT, Inc. | 66,250 | ||||
7,879 | Sumitomo Realty & Development Co., Ltd. | 281,558 | ||||
4,050 | Tokyo Tatemono Co., Ltd. | 57,745 | ||||
18 | Tokyu REIT, Inc. | 33,199 | ||||
60 | United Urban Investment Corp. | 86,791 | ||||
4,016,758 | ||||||
Jersey — 0.0% | ||||||
1,659 | Phoenix Spree Deutschland Ltd. | 9,157 | ||||
Luxembourg — 0.8% | ||||||
1,834 | ADLER Group S.A. (g) (h) | 48,234 | ||||
24,136 | Aroundtown S.A. | 188,314 | ||||
1,918 | Grand City Properties S.A. | 51,808 | ||||
505 | Shurgard Self Storage S.A. | 24,371 | ||||
312,727 | ||||||
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund (FFR) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Multi-National — 0.6% | ||||||
2,714 | Unibail-Rodamco-Westfield (e) | $ | 234,891 | |||
Netherlands — 0.2% | ||||||
962 | Eurocommercial Properties N.V., CVA | 23,932 | ||||
371 | NSI N.V. | 14,319 | ||||
345 | Vastned Retail N.V. | 10,104 | ||||
811 | Wereldhave N.V. | 13,819 | ||||
62,174 | ||||||
New Zealand — 0.2% | ||||||
21,964 | Goodman Property Trust | 35,388 | ||||
31,584 | Kiwi Property Group Ltd. | 25,720 | ||||
21,243 | Precinct Properties New Zealand Ltd. | 23,758 | ||||
84,866 | ||||||
Norway — 0.2% | ||||||
3,355 | Entra ASA (g) (h) | 76,684 | ||||
Singapore — 2.9% | ||||||
65,656 | Ascendas Real Estate Investment Trust | 144,036 | ||||
36,076 | Ascott Residence Trust | 26,828 | ||||
87,797 | CapitaLand Integrated Commercial Trust | 136,458 | ||||
51,834 | CapitaLand Ltd. | 143,009 | ||||
15,967 | CDL Hospitality Trusts | 14,605 | ||||
9,420 | City Developments Ltd. | 51,069 | ||||
26,976 | Fortune Real Estate Investment Trust | 28,907 | ||||
21,673 | Frasers Centrepoint Trust | 39,165 | ||||
53,064 | Frasers Logistics & Commercial Trust (g) | 56,825 | ||||
24,394 | Keppel DC REIT | 45,171 | ||||
42,793 | Keppel REIT | 37,552 | ||||
29,076 | Manulife US Real Estate Investment Trust (g) | 22,970 | ||||
44,066 | Mapletree Commercial Trust | 70,783 | ||||
37,282 | Mapletree Industrial Trust | 78,462 | ||||
57,777 | Mapletree Logistics Trust | 88,081 | ||||
7,759 | Parkway Life Real Estate Investment Trust | 26,485 | ||||
41,779 | Suntec Real Estate Investment Trust | 45,361 | ||||
9,915 | UOL Group Ltd. | 53,826 | ||||
1,109,593 | ||||||
Spain — 0.4% | ||||||
6,498 | Inmobiliaria Colonial Socimi S.A. | 65,608 | ||||
1,206 | Lar Espana Real Estate Socimi S.A. | 7,014 | ||||
6,673 | Merlin Properties Socimi S.A. | 69,124 | ||||
141,746 | ||||||
Sweden — 2.5% | ||||||
902 | Atrium Ljungberg AB, Class B | 20,542 | ||||
5,459 | Castellum AB | 138,929 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Sweden (Continued) | ||||||
547 | Catena AB | $ | 29,286 | |||
13,522 | Corem Property Group AB, Class B | 30,621 | ||||
1,687 | Dios Fastigheter AB | 17,475 | ||||
5,183 | Fabege AB | 83,152 | ||||
2,024 | Fastighets AB Balder, Class B (e) | 127,001 | ||||
2,157 | Hufvudstaden AB, Class A | 36,672 | ||||
1,239 | K-fast Holding AB (e) (g) | 9,048 | ||||
145 | Klovern AB, Class B | 290 | ||||
3,784 | Kungsleden AB | 45,807 | ||||
3,529 | Nyfosa AB | 47,710 | ||||
1,775 | Pandox AB (e) | 29,535 | ||||
1,084 | Platzer Fastigheter Holding AB, Class B | 16,441 | ||||
3,456 | Sagax AB, Class B | 102,653 | ||||
20,000 | Samhallsbyggnadsbolaget i Norden AB | 83,804 | ||||
3,276 | Wallenstam AB, Class B | 51,831 | ||||
2,667 | Wihlborgs Fastigheter AB | 57,871 | ||||
928,668 | ||||||
Switzerland — 1.0% | ||||||
282 | Allreal Holding AG | 55,531 | ||||
59 | Hiag Immobilien Holding AG | 6,504 | ||||
23 | Intershop Holding AG | 15,114 | ||||
130 | Mobimo Holding AG | 42,713 | ||||
178 | Peach Property Group AG | 10,581 | ||||
865 | PSP Swiss Property AG | 109,849 | ||||
1,511 | Swiss Prime Site AG | 149,916 | ||||
390,208 | ||||||
United Kingdom — 4.3% | ||||||
5,024 | Aberdeen Standard European Logistics Income PLC (g) (h) | 8,270 | ||||
52,883 | Assura PLC | 54,170 | ||||
3,250 | Big Yellow Group PLC | 58,759 | ||||
18,601 | British Land (The) Co. PLC | 127,341 | ||||
14,788 | Capital & Counties Properties PLC (e) | 32,996 | ||||
12,519 | Civitas Social Housing PLC (g) | 19,984 | ||||
3,139 | CLS Holdings PLC | 10,443 | ||||
7,799 | Custodian REIT PLC | 10,497 | ||||
2,027 | Derwent London PLC | 93,091 | ||||
11,797 | Empiric Student Property PLC (e) | 14,050 | ||||
9,157 | GCP Student Living PLC | 20,394 | ||||
13,315 | Grainger PLC | 52,493 | ||||
5,097 | Great Portland Estates PLC | 50,025 | ||||
81,617 | Hammerson PLC | 42,033 | ||||
2,028 | Helical PLC | 12,203 | ||||
5,208 | Impact Healthcare REIT PLC (g) | 8,011 | ||||
14,334 | Land Securities Group PLC | 133,920 | ||||
17,711 | LondonMetric Property PLC | 56,692 | ||||
12,501 | LXI REIT PLC (g) | 23,034 | ||||
6,081 | NewRiver REIT PLC (e) | 7,276 |
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund (FFR) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United Kingdom (Continued) | ||||||
26,388 | Primary Health Properties PLC | $ | 56,177 | |||
9,365 | PRS REIT (The) PLC | 13,214 | ||||
4,123 | Safestore Holdings PLC | 54,011 | ||||
24,085 | Segro PLC | 364,652 | ||||
5,595 | Shaftesbury PLC | 44,077 | ||||
10,287 | Target Healthcare REIT PLC | 16,421 | ||||
7,338 | Triple Point Social Housing REIT PLC (g) (h) | 10,597 | ||||
34,586 | Tritax Big Box REIT PLC | 93,915 | ||||
12,382 | Tritax EuroBox PLC (g) (h) | 18,464 | ||||
6,402 | UNITE Group (The) PLC | 95,112 | ||||
2,685 | Workspace Group PLC | 30,976 | ||||
1,633,298 | ||||||
United States — 56.5% | ||||||
1,691 | Acadia Realty Trust | 37,134 | ||||
1,341 | Agree Realty Corp. | 94,527 | ||||
43 | Alexander’s, Inc. | 11,522 | ||||
2,938 | Alexandria Real Estate Equities, Inc. | 534,540 | ||||
996 | American Assets Trust, Inc. | 37,141 | ||||
2,749 | American Campus Communities, Inc. | 128,433 | ||||
2,183 | American Finance Trust, Inc. | 18,512 | ||||
5,582 | American Homes 4 Rent, Class A | 216,861 | ||||
5,071 | Americold Realty Trust | 191,937 | ||||
3,139 | Apartment Income REIT Corp. | 148,883 | ||||
2,972 | Apartment Investment and Management Co., Class A | 19,942 | ||||
4,191 | Apple Hospitality REIT, Inc. | 63,955 | ||||
1,191 | Armada Hoffler Properties, Inc. | 15,828 | ||||
2,801 | AvalonBay Communities, Inc. | 584,541 | ||||
3,136 | Boston Properties, Inc. | 359,354 | ||||
3,386 | Brandywine Realty Trust | 46,422 | ||||
5,945 | Brixmor Property Group, Inc. | 136,081 | ||||
2,839 | Broadstone Net Lease, Inc. | 66,461 | ||||
646 | Brookfield Property REIT, Inc., Class A | 12,203 | ||||
1,898 | Camden Property Trust | 251,808 | ||||
1,926 | CareTrust REIT, Inc. | 44,741 | ||||
264 | Centerspace | 20,830 | ||||
2,288 | Columbia Property Trust, Inc. | 39,788 | ||||
465 | Community Healthcare Trust, Inc. | 22,069 | ||||
855 | CoreSite Realty Corp. | 115,083 | ||||
2,254 | Corporate Office Properties Trust | 63,090 | ||||
2,977 | Cousins Properties, Inc. | 109,494 | ||||
4,032 | CubeSmart | 186,762 | ||||
2,460 | CyrusOne, Inc. | 175,939 | ||||
4,173 | DiamondRock Hospitality Co. (e) | 40,478 | ||||
5,639 | Digital Realty Trust, Inc. | 848,444 | ||||
9,540 | DigitalBridge Group, Inc. (e) | 75,366 | ||||
4,735 | Diversified Healthcare Trust | 19,792 | ||||
3,340 | Douglas Emmett, Inc. | 112,291 | ||||
7,519 | Duke Realty Corp. | 356,025 | ||||
1,682 | Easterly Government Properties, Inc. | 35,457 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United States (Continued) | ||||||
793 | EastGroup Properties, Inc. | $ | 130,409 | |||
2,853 | Empire State Realty Trust, Inc., Class A | 34,236 | ||||
1,486 | EPR Properties (e) | 78,283 | ||||
899 | Equinix, Inc. | 721,537 | ||||
2,341 | Equity Commonwealth | 61,334 | ||||
3,490 | Equity LifeStyle Properties, Inc. | 259,342 | ||||
7,405 | Equity Residential | 570,185 | ||||
2,335 | Essential Properties Realty Trust, Inc. | 63,138 | ||||
1,302 | Essex Property Trust, Inc. | 390,613 | ||||
2,635 | Extra Space Storage, Inc. | 431,666 | ||||
1,549 | Federal Realty Investment Trust | 181,496 | ||||
2,584 | First Industrial Realty Trust, Inc. | 134,962 | ||||
1,518 | Four Corners Property Trust, Inc. | 41,912 | ||||
2,059 | Franklin Street Properties Corp. | 10,830 | ||||
4,428 | Gaming and Leisure Properties, Inc. | 205,149 | ||||
796 | Getty Realty Corp. | 24,795 | ||||
1,916 | Global Net Lease, Inc. | 35,446 | ||||
2,827 | Healthcare Realty Trust, Inc. | 85,375 | ||||
4,370 | Healthcare Trust of America, Inc., Class A | 116,679 | ||||
10,829 | Healthpeak Properties, Inc. | 360,497 | ||||
2,063 | Highwoods Properties, Inc. | 93,186 | ||||
14,044 | Host Hotels & Resorts, Inc. (e) | 240,012 | ||||
2,947 | Hudson Pacific Properties, Inc. | 81,986 | ||||
2,038 | Independence Realty Trust, Inc. | 37,153 | ||||
1,296 | Industrial Logistics Properties Trust | 33,877 | ||||
473 | Innovative Industrial Properties, Inc. | 90,353 | ||||
11,405 | Invitation Homes, Inc. | 425,293 | ||||
2,488 | JBG SMITH Properties | 78,397 | ||||
2,397 | Kennedy-Wilson Holdings, Inc. | 47,628 | ||||
2,331 | Kilroy Realty Corp. | 162,331 | ||||
8,291 | Kimco Realty Corp. | 172,867 | ||||
1,664 | Kite Realty Group Trust | 36,625 | ||||
5,474 | Lexington Realty Trust | 65,414 | ||||
1,533 | Life Storage, Inc. | 164,568 | ||||
776 | LTC Properties, Inc. | 29,791 | ||||
3,944 | Macerich (The) Co. | 71,978 | ||||
1,752 | Mack-Cali Realty Corp. | 30,047 | ||||
11,639 | Medical Properties Trust, Inc. | 233,944 | ||||
2,287 | Mid-America Apartment Communities, Inc. | 385,177 | ||||
1,901 | Monmouth Real Estate Investment Corp. | 35,587 | ||||
873 | National Health Investors, Inc. | 58,535 | ||||
3,507 | National Retail Properties, Inc. | 164,408 | ||||
1,400 | National Storage Affiliates Trust | 70,784 | ||||
444 | NexPoint Residential Trust, Inc. | 24,411 | ||||
955 | Office Properties Income Trust | 27,991 | ||||
4,721 | Omega Healthcare Investors, Inc. | 171,325 | ||||
3,725 | Paramount Group, Inc. | 37,511 | ||||
4,715 | Park Hotels & Resorts, Inc. (e) | 97,176 | ||||
2,594 | Pebblebrook Hotel Trust | 61,089 |
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund (FFR) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United States (Continued) | ||||||
4,303 | Physicians Realty Trust | $ | 79,476 | |||
2,475 | Piedmont Office Realty Trust, Inc., Class A | 45,713 | ||||
14,821 | Prologis, Inc. | 1,771,554 | ||||
401 | PS Business Parks, Inc. | 59,380 | ||||
3,029 | Public Storage | 910,790 | ||||
1,371 | QTS Realty Trust, Inc., Class A | 105,978 | ||||
7,508 | Realty Income Corp. | 501,084 | ||||
3,392 | Regency Centers Corp. | 217,325 | ||||
2,320 | Retail Opportunity Investments Corp. | 40,971 | ||||
4,281 | Retail Properties of America, Inc., Class A | 49,018 | ||||
2,695 | Rexford Industrial Realty, Inc. | 153,480 | ||||
3,266 | RLJ Lodging Trust | 49,741 | ||||
1,608 | RPT Realty | 20,872 | ||||
1,073 | Ryman Hospitality Properties, Inc. (e) | 84,724 | ||||
4,303 | Sabra Health Care REIT, Inc. | 78,315 | ||||
357 | Safehold, Inc. | 28,025 | ||||
3,275 | Service Properties Trust | 41,265 | ||||
6,554 | Simon Property Group, Inc. | 855,166 | ||||
3,457 | SITE Centers Corp. | 52,062 | ||||
1,409 | SL Green Realty Corp. | 112,720 | ||||
2,302 | Spirit Realty Capital, Inc. | 110,128 | ||||
3,210 | STAG Industrial, Inc. | 120,150 | ||||
4,906 | STORE Capital Corp. | 169,306 | ||||
2,070 | Summit Hotel Properties, Inc. (e) | 19,313 | ||||
2,220 | Sun Communities, Inc. | 380,508 | ||||
4,289 | Sunstone Hotel Investors, Inc. (e) | 53,269 | ||||
1,979 | Tanger Factory Outlet Centers, Inc. | 37,304 | ||||
1,368 | Terreno Realty Corp. | 88,263 | ||||
5,932 | UDR, Inc. | 290,549 | ||||
256 | Universal Health Realty Income Trust | 15,757 | ||||
2,311 | Urban Edge Properties | 44,140 | ||||
7,531 | Ventas, Inc. | 430,020 | ||||
4,597 | VEREIT, Inc. | 211,140 | ||||
10,788 | VICI Properties, Inc. | 334,644 | ||||
3,524 | Vornado Realty Trust | 164,465 | ||||
1,690 | Washington Real Estate Investment Trust | 38,870 | ||||
2,399 | Weingarten Realty Investors | 76,936 | ||||
8,393 | Welltower, Inc. | 697,458 | ||||
3,545 | WP Carey, Inc. | 264,528 | ||||
2,273 | Xenia Hotels & Resorts, Inc. (e) | 42,573 | ||||
21,256,042 | ||||||
Total Common Stocks — 99.4% | 37,415,119 | |||||
(Cost $33,050,504) |
Shares | Description | Value | ||||
Investment Companies (a) — 0.1% | ||||||
Guernsey — 0.1% | ||||||
10,591 | BMO Commercial Property Trust Ltd. | $ | 13,273 | |||
11,008 | Picton Property Income Ltd. | 13,248 | ||||
14,805 | UK Commercial Property REIT Ltd. | 15,667 | ||||
Total Investment Companies — 0.1% | 42,188 | |||||
(Cost $48,169) | ||||||
Money Market Funds — 0.2% | ||||||
77,470 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 0.01% (i) | 77,470 | ||||
(Cost $77,470) | ||||||
Total Investments — 99.7% | 37,534,777 | |||||
(Cost $33,176,143) (j) | ||||||
Net Other Assets and Liabilities — 0.3% | 114,599 | |||||
Net Assets — 100.0% | $ | 37,649,376 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures adopted by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940, as amended. At June 30, 2021, securities noted as such are valued at $0 or 0.0% of net assets. |
(c) | This security’s value was determined using significant unobservable inputs (see Valuation Inputs section). |
(d) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors, L.P., the Fund’s advisor. |
(e) | Non-income producing security. |
(f) | This is a restricted security which cannot be traded as a result of the in-specie distribution. It was acquired on August 6, 2009 at a cost of $0 and has a carrying value per share of $0. |
(g) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act, as amended (the “1933 Act”). |
(h) | This security is exempt from registration upon resale under Rule 144A of the 1933 Act and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(i) | Rate shown reflects yield as of June 30, 2021. |
(j) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $7,005,624 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $2,646,990. The net unrealized appreciation was $4,358,634. |
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund (FFR) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Valuation Inputs | ||||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | ||||
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |||||||||||||
Common Stocks: | ||||||||||||||||
Australia | $ | 1,236,229 | $ | 1,236,229 | $ | — | $ | — | ** | |||||||
Other Country Categories* | 36,178,890 | 36,178,890 | — | — | ||||||||||||
Investment Companies* | 42,188 | 42,188 | — | — | ||||||||||||
Money Market Funds | 77,470 | 77,470 | — | — | ||||||||||||
Total Investments | $ | 37,534,777 | $ | 37,534,777 | $ | — | $ | — | ** | |||||||
* See Portfolio of Investments for Country breakout. | ||||||||||||||||
** Investment is valued at $0. |
Level 3 Common Stocks are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. | |
Level 3 Common Stocks values are based on unobservable and non-quantitative inputs. |
Sector Allocation | % of Total Long-Term Investments | |||
Real Estate | 99.8 | % | ||
Health Care | 0.1 | |||
Consumer Discretionary | 0.1 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 57.3 | % | ||
Japanese Yen | 10.7 | |||
Euro | 8.9 | |||
Hong Kong Dollar | 5.3 | |||
British Pound Sterling | 4.7 | |||
Australian Dollar | 3.3 | |||
Canadian Dollar | 2.9 | |||
Singapore Dollar | 2.8 | |||
Swedish Krona | 2.5 | |||
Swiss Franc | 1.0 | |||
New Zealand Dollar | 0.2 | |||
Norwegian Krone | 0.2 | |||
Israeli Shekel | 0.2 | |||
Total | 100.0 | % |
First Trust Dow Jones Global Select Dividend Index Fund (FGD) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.2% | ||||||
Australia — 3.0% | ||||||
536,596 | Fortescue Metals Group Ltd. | $ | 9,392,502 | |||
138,994 | JB Hi-Fi Ltd. | 5,272,395 | ||||
14,664,897 | ||||||
Belgium — 0.9% | ||||||
79,173 | Ageas S.A./N.V. | 4,393,545 | ||||
Bermuda — 4.0% | ||||||
764,181 | CK Infrastructure Holdings Ltd. | 4,556,957 | ||||
1,470,958 | Kerry Properties Ltd. | 4,849,957 | ||||
94,577 | Lazard Ltd., Class A | 4,279,609 | ||||
568,684 | VTech Holdings Ltd. | 5,987,651 | ||||
19,674,174 | ||||||
Canada — 14.7% | ||||||
63,543 | Bank of Nova Scotia (The) | 4,132,653 | ||||
114,818 | BCE, Inc. | 5,662,169 | ||||
41,515 | Canadian Imperial Bank of Commerce | 4,725,864 | ||||
191,703 | Canadian Utilities Ltd., Class A | 5,319,928 | ||||
170,938 | Great-West Lifeco, Inc. | 5,077,393 | ||||
177,242 | IGM Financial, Inc. | 6,256,946 | ||||
291,980 | Labrador Iron Ore Royalty Corp. | 11,063,489 | ||||
118,480 | Laurentian Bank of Canada | 4,175,856 | ||||
168,987 | Manulife Financial Corp. | 3,326,301 | ||||
187,876 | Power Corp. of Canada | 5,938,191 | ||||
233,340 | Shaw Communications, Inc., Class B | 6,759,632 | ||||
116,803 | TC Energy Corp. | 5,779,845 | ||||
191,085 | TELUS Corp. | 4,285,385 | ||||
72,503,652 | ||||||
Cayman Islands — 0.8% | ||||||
514,856 | CK Hutchison Holdings Ltd. | 4,011,796 | ||||
Finland — 1.0% | ||||||
172,233 | Fortum OYJ | 4,750,269 | ||||
France — 1.9% | ||||||
82,120 | Nexity S.A. | 4,107,217 | ||||
114,979 | TotalEnergies SE | 5,201,902 | ||||
9,309,119 | ||||||
Germany — 1.5% | ||||||
15,542 | Allianz SE | 3,875,594 | ||||
46,399 | BASF SE | 3,655,362 | ||||
7,530,956 | ||||||
Hong Kong — 5.7% | ||||||
1,247,467 | BOC Hong Kong Holdings Ltd. | 4,233,576 | ||||
154,680 | Hang Seng Bank Ltd. | 3,089,895 | ||||
1,004,093 | Henderson Land Development Co., Ltd. | 4,759,041 | ||||
852,520 | Hysan Development Co., Ltd. | 3,398,309 | ||||
828,771 | New World Development Co., Ltd. | 4,307,009 | ||||
10,268,267 | PCCW Ltd. | 5,382,565 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Hong Kong (Continued) | ||||||
482,340 | Swire Pacific Ltd., Class A | $ | 3,270,765 | |||
28,441,160 | ||||||
Israel — 1.3% | ||||||
345,584 | Plus500 Ltd. | 6,381,910 | ||||
Italy — 5.6% | ||||||
2,637,169 | A2A S.p.A. | 5,390,976 | ||||
809,742 | Anima Holding S.p.A. (b) (c) | 4,023,986 | ||||
182,968 | Azimut Holding S.p.A. | 4,443,214 | ||||
256,489 | Eni S.p.A. | 3,123,427 | ||||
348,791 | Poste Italiane S.p.A. (b) (c) | 4,611,395 | ||||
2,182,714 | UnipolSai Assicurazioni S.p.A. | 6,335,784 | ||||
27,928,782 | ||||||
Japan — 5.9% | ||||||
196,654 | Aozora Bank Ltd. | 4,398,805 | ||||
327,000 | Haseko Corp. | 4,479,896 | ||||
132,576 | Idemitsu Kosan Co., Ltd. | 3,201,777 | ||||
297,170 | Japan Tobacco, Inc. | 5,613,315 | ||||
139,100 | MS&AD Insurance Group Holdings, Inc. | 4,016,678 | ||||
964,700 | Resona Holdings, Inc. | 3,709,616 | ||||
114,300 | Sumitomo Mitsui Financial Group, Inc. | 3,940,492 | ||||
29,360,579 | ||||||
Jersey — 2.4% | ||||||
4,765,138 | Centamin PLC | 6,670,706 | ||||
129,031 | Janus Henderson Group PLC | 5,007,693 | ||||
11,678,399 | ||||||
Luxembourg — 1.0% | ||||||
98,724 | APERAM S.A. | 5,058,237 | ||||
Netherlands — 2.3% | ||||||
30,729 | LyondellBasell Industries N.V., Class A | 3,161,092 | ||||
104,264 | NN Group N.V. | 4,918,032 | ||||
224,438 | SBM Offshore N.V. | 3,410,414 | ||||
11,489,538 | ||||||
New Zealand — 0.9% | ||||||
1,379,828 | Spark New Zealand Ltd. | 4,629,583 | ||||
Singapore — 0.7% | ||||||
2,085,336 | Singapore Telecommunications Ltd. | 3,551,290 | ||||
South Korea — 11.9% | ||||||
789,306 | BNK Financial Group, Inc. | 5,417,871 | ||||
112,091 | DB Insurance Co., Ltd. | 5,454,501 | ||||
670,710 | DGB Financial Group, Inc. | 5,538,874 | ||||
115,159 | Hana Financial Group, Inc. | 4,709,028 | ||||
839,803 | Industrial Bank of Korea | 7,830,157 | ||||
73,512 | KB Financial Group, Inc. | 3,642,472 |
First Trust Dow Jones Global Select Dividend Index Fund (FGD) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
South Korea (Continued) | ||||||
71,748 | KT&G Corp. | $ | 5,377,198 | |||
1,950,812 | Meritz Securities Co., Ltd. | 8,202,366 | ||||
150,464 | Samsung Securities Co., Ltd. | 6,005,734 | ||||
682,454 | Woori Financial Group, Inc. | 6,938,772 | ||||
59,116,973 | ||||||
Spain — 9.6% | ||||||
199,175 | ACS Actividades de Construccion y Servicios S.A. | 5,335,108 | ||||
309,716 | Cia de Distribucion Integral Logista Holdings S.A. | 6,368,027 | ||||
372,955 | Enagas S.A. | 8,616,859 | ||||
3,271,214 | Mapfre S.A. | 6,914,020 | ||||
224,750 | Naturgy Energy Group S.A. | 5,777,649 | ||||
346,169 | Red Electrica Corp., S.A. | 6,425,892 | ||||
1,740,315 | Telefonica S.A. | 8,132,544 | ||||
47,570,099 | ||||||
Sweden — 1.0% | ||||||
1,128,074 | Telia Co., AB | 5,006,281 | ||||
Switzerland — 2.7% | ||||||
35,424 | Helvetia Holding AG | 3,809,444 | ||||
57,406 | Swiss Re AG | 5,179,414 | ||||
10,429 | Zurich Insurance Group AG | 4,183,999 | ||||
13,172,857 | ||||||
United Kingdom — 7.4% | ||||||
195,583 | British American Tobacco PLC | 7,575,388 | ||||
709,730 | Drax Group PLC | 4,164,660 | ||||
1,239,007 | Jupiter Fund Management PLC | 4,833,243 | ||||
1,421,457 | Legal & General Group PLC | 5,065,186 | ||||
527,343 | Phoenix Group Holdings PLC | 4,934,152 | ||||
57,738 | Rio Tinto PLC | 4,751,399 | ||||
1,416,191 | Standard Life Aberdeen PLC | 5,308,929 | ||||
36,632,957 | ||||||
United States — 13.0% | ||||||
134,450 | Altria Group, Inc. | 6,410,576 | ||||
204,256 | AT&T, Inc. | 5,878,488 | ||||
46,429 | Comerica, Inc. | 3,312,245 | ||||
134,061 | First Financial Bancorp | 3,167,861 | ||||
215,637 | H&R Block, Inc. | 5,063,157 | ||||
196,492 | Huntington Bancshares, Inc. | 2,803,941 | ||||
481,499 | Lumen Technologies, Inc. | 6,543,571 | ||||
59,965 | Marathon Petroleum Corp. | 3,623,085 | ||||
322,656 | Navient Corp. | 6,236,941 | ||||
289,709 | Northwest Bancshares, Inc. | 3,951,631 | ||||
46,949 | Prudential Financial, Inc. | 4,810,864 | ||||
220,867 | Umpqua Holdings Corp. | 4,074,996 | ||||
87,857 | Universal Corp. | 5,005,213 | ||||
120,645 | Unum Group | 3,426,318 | ||||
64,308,887 | ||||||
Description | Value | |||||
Total Investments — 99.2% | $ | 491,165,940 | ||||
(Cost $438,729,997) (d) | ||||||
Net Other Assets and Liabilities — 0.8% | 3,724,994 | |||||
Net Assets — 100.0% | $ | 494,890,934 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(c) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(d) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $66,795,960 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $14,360,017. The net unrealized appreciation was $52,435,943. |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 491,165,940 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
First Trust Dow Jones Global Select Dividend Index Fund (FGD) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Sector Allocation | % of Total Long-Term Investments | |||
Financials | 47.0 | % | ||
Communication Services | 11.4 | |||
Utilities | 9.2 | |||
Materials | 8.9 | |||
Consumer Staples | 6.1 | |||
Real Estate | 5.0 | |||
Energy | 5.0 | |||
Industrials | 3.2 | |||
Consumer Discretionary | 3.0 | |||
Information Technology | 1.2 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
Euro | 23.4 | % | ||
United States Dollar | 15.6 | |||
Canadian Dollar | 14.8 | |||
South Korean Won | 12.0 | |||
British Pound Sterling | 10.1 | |||
Hong Kong Dollar | 9.7 | |||
Japanese Yen | 6.0 | |||
Australian Dollar | 3.0 | |||
Swiss Franc | 2.7 | |||
Swedish Krona | 1.0 | |||
New Zealand Dollar | 1.0 | |||
Singapore Dollar | 0.7 | |||
Total | 100.0 | % | ||
First Trust Global Wind Energy ETF (FAN) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.6% | ||||||
Australia — 1.5% | ||||||
952,259 | AGL Energy Ltd. | $ | 5,856,012 | |||
Bermuda — 0.5% | ||||||
26,867,081 | Concord New Energy Group Ltd. | 2,041,598 | ||||
Canada — 15.4% | ||||||
423,011 | Boralex, Inc., Class A | 12,882,111 | ||||
502,376 | Innergex Renewable Energy, Inc. | 8,733,626 | ||||
901,842 | Northland Power, Inc. (b) | 30,767,101 | ||||
511,654 | TransAlta Renewables, Inc. | 8,597,736 | ||||
60,980,574 | ||||||
Cayman Islands — 0.3% | ||||||
2,038,068 | China High Speed Transmission Equipment Group Co., Ltd. (c) | 1,294,086 | ||||
China — 9.5% | ||||||
11,149,106 | China Datang Corp. Renewable Power Co., Ltd., Class H | 3,202,157 | ||||
16,009,087 | China Longyuan Power Group Corp., Ltd., Class H | 27,588,010 | ||||
2,515,033 | China Suntien Green Energy Corp., Ltd., Class H | 1,234,145 | ||||
3,707,886 | Xinjiang Goldwind Science & Technology Co., Ltd., Class H | 5,797,527 | ||||
37,821,839 | ||||||
Denmark — 15.4% | ||||||
197,285 | Orsted A/S (d) (e) | 27,683,604 | ||||
852,707 | Vestas Wind Systems A/S | 33,285,656 | ||||
60,969,260 | ||||||
France — 2.4% | ||||||
547,741 | Engie S.A. | 7,504,120 | ||||
44,045 | Neoen S.A. (c) (d) (e) | 1,978,330 | ||||
9,482,450 | ||||||
Germany — 6.7% | ||||||
29,531 | Energiekontor AG | 1,915,392 | ||||
342,600 | Nordex SE (c) | 8,319,734 | ||||
168,805 | PNE AG | 1,487,189 | ||||
211,214 | RWE AG | 7,653,643 | ||||
90,542 | SGL Carbon SE (c) | 868,542 | ||||
211,822 | Siemens Energy AG (c) | 6,384,675 | ||||
26,629,175 | ||||||
Greece — 0.9% | ||||||
238,787 | Terna Energy S.A. | 3,369,378 | ||||
Italy — 5.1% | ||||||
843,887 | Enel S.p.A. | 7,836,987 | ||||
544,755 | Falck Renewables S.p.A. | 3,591,436 | ||||
248,012 | Prysmian S.p.A. | 8,890,025 | ||||
20,318,448 | ||||||
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Japan — 2.1% | ||||||
1,228,810 | Toray Industries, Inc. | $ | 8,175,107 | |||
Netherlands — 0.2% | ||||||
53,783 | SIF Holding N.V. | 940,015 | ||||
Portugal — 1.9% | ||||||
1,394,742 | EDP - Energias de Portugal S.A. | 7,392,538 | ||||
South Korea — 2.0% | ||||||
86,919 | CS Wind Corp. | 5,981,639 | ||||
45,968 | Dongkuk Structures & Construction Co., Ltd. | 241,647 | ||||
506,737 | Unison Co., Ltd. (c) | 1,808,891 | ||||
8,032,177 | ||||||
Spain — 12.7% | ||||||
39,716 | Acciona S.A. | 5,994,957 | ||||
322,114 | Endesa S.A. (b) | 7,814,611 | ||||
634,959 | Iberdrola S.A. | 7,739,822 | ||||
859,668 | Siemens Gamesa Renewable Energy S.A. | 28,704,868 | ||||
50,254,258 | ||||||
Sweden — 2.6% | ||||||
115,570 | Arise AB (c) | 589,457 | ||||
103,032 | Eolus Vind AB, Class B (b) | 2,419,863 | ||||
293,315 | SKF AB, Class B | 7,468,169 | ||||
10,477,489 | ||||||
Switzerland — 4.1% | ||||||
278,476 | ABB Ltd. | 9,447,567 | ||||
31,431 | BKW AG | 3,271,338 | ||||
1,711 | Gurit Holding AG | 3,735,445 | ||||
16,454,350 | ||||||
United Kingdom — 2.3% | ||||||
433,889 | SSE PLC | 9,005,968 | ||||
United States — 14.0% | ||||||
174,062 | Alliant Energy Corp. | 9,705,697 | ||||
38,606 | American Superconductor Corp. (c) | 671,358 | ||||
66,659 | Arcosa, Inc. | 3,915,550 | ||||
60,889 | Broadwind, Inc. (b) (c) | 275,827 | ||||
93,874 | Duke Energy Corp. | 9,267,241 | ||||
640,724 | General Electric Co. | 8,624,145 | ||||
115,740 | Hexcel Corp. (c) | 7,222,176 | ||||
109,345 | NextEra Energy, Inc. | 8,012,802 | ||||
164,742 | TPI Composites, Inc. (c) | 7,976,808 | ||||
55,671,604 |
First Trust Global Wind Energy ETF (FAN) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Total Common Stocks — 99.6% | $ | 395,166,326 | ||||
(Cost $349,875,626) | ||||||
Money Market Funds — 0.0% | ||||||
74,695 | Morgan Stanley Institutional Liquidity Funds - Treasury Portfolio - Institutional Class - 0.01% (f) | 74,695 | ||||
(Cost $74,695) |
Principal Value | Description | Value | |||||
Repurchase Agreements — 3.5% | |||||||
$ | 6,666,069 | Bank of America Corp., 0.05% (f), dated 06/30/21, due 07/01/21, with a maturity value of $6,666,078. Collateralized by U.S. Treasury Securities, interest rate of 2.875% to 3.625%, due 02/15/2044 to 05/15/2049. The value of the collateral including accrued interest is $6,799,390. (g) | 6,666,069 | ||||
6,666,069 | JPMorgan Chase & Co., 0.05% (f), dated 06/30/21, due 07/01/21, with a maturity value of $6,666,078. Collateralized by U.S. Treasury Securities, interest rate of 0.125% to 2.750%, due 12/31/2022 to 11/15/2023. The value of the collateral including accrued interest is $6,799,392. (g) | 6,666,069 | |||||
426,498 | Mizuho Financial Group, Inc., 0.04% (f), dated 06/30/21, due 07/01/21, with a maturity value of $426,498. Collateralized by U.S. Treasury Securities, interest rate of 0.125% to 2.875%, due 07/31/2021 to 11/15/2030. The value of the collateral including accrued interest is $435,028. (g) | 426,498 | |||||
Total Repurchase Agreements — 3.5% | 13,758,636 | ||||||
(Cost $13,758,636) | |||||||
Total Investments — 103.1% | 408,999,657 | ||||||
(Cost $363,708,957) (h) | |||||||
Net Other Assets and Liabilities — (3.1)% | (12,438,294 | ) | |||||
Net Assets — 100.0% | $ | 396,561,363 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $8,930,384 and the total value of the collateral held by the Fund is $13,758,636. |
(c) | Non-income producing security. |
(d) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(e) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(f) | Rate shown reflects yield as of June 30, 2021. |
(g) | This security serves as collateral for securities on loan. |
(h) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $56,798,294 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $11,507,594. The net unrealized appreciation was $45,290,700. |
First Trust Global Wind Energy ETF (FAN) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): |
Total Value at 6/30/2021 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |||||||||||||
Common Stocks* | $ | 395,166,326 | $ | 395,166,326 | $ | — | $ — | |||||||||
Money Market Funds | 74,695 | 74,695 | — | — | ||||||||||||
Repurchase Agreements | 13,758,636 | — | 13,758,636 | — | ||||||||||||
Total Investments | $ | 408,999,657 | $ | 395,241,021 | $ | 13,758,636 | $ — | |||||||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Utilities | 57.7 | % | ||
Industrials | 39.0 | |||
Materials | 3.0 | |||
Energy | 0.3 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
Euro | 28.9 | % | ||
United States Dollar | 17.0 | |||
Canadian Dollar | 14.9 | |||
Danish Krone | 14.9 | |||
Hong Kong Dollar | 10.1 | |||
Swiss Franc | 4.0 | |||
Swedish Krona | 2.6 | |||
British Pound Sterling | 2.2 | |||
Japanese Yen | 2.0 | |||
South Korean Won | 2.0 | |||
Australian Dollar | 1.4 | |||
Total | 100.0 | % | ||
First Trust Global Engineering and Construction ETF (FLM) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.7% | ||||||
Australia — 3.0% | ||||||
8,073 | CIMIC Group Ltd. | $ | 119,755 | |||
44,324 | Downer EDI Ltd. | 185,816 | ||||
1,727 | Monadelphous Group Ltd. | 13,535 | ||||
319,106 | ||||||
Canada — 4.9% | ||||||
3,057 | Aecon Group, Inc. | 44,390 | ||||
8,454 | SNC-Lavalin Group, Inc. | 219,943 | ||||
5,912 | Stantec, Inc. | 263,789 | ||||
528,122 | ||||||
Cayman Islands — 0.8% | ||||||
120,326 | China State Construction International Holdings Ltd. | 82,136 | ||||
China — 1.9% | ||||||
386,901 | China Railway Group Ltd., Class H | 201,815 | ||||
Finland — 0.2% | ||||||
3,197 | YIT OYJ | 19,580 | ||||
France — 9.1% | ||||||
8,719 | Bouygues S.A. | 322,458 | ||||
2,983 | Eiffage S.A. | 303,482 | ||||
3,364 | Vinci S.A. | 358,957 | ||||
984,897 | ||||||
Germany — 1.9% | ||||||
2,663 | HOCHTIEF AG | 204,489 | ||||
Ireland — 3.4% | ||||||
3,857 | Kingspan Group PLC | 364,228 | ||||
Italy — 0.5% | ||||||
21,943 | Webuild S.p.A. (b) | 58,230 | ||||
Japan — 29.4% | ||||||
35,100 | Chiyoda Corp. (c) | 139,332 | ||||
9,100 | COMSYS Holdings Corp. | 251,879 | ||||
25,500 | JGC Holdings Corp. | 237,567 | ||||
21,400 | Kajima Corp. | 271,028 | ||||
3,200 | Kandenko Co., Ltd. | 24,973 | ||||
11,000 | Kinden Corp. | 179,612 | ||||
3,370 | Kumagai Gumi Co., Ltd. | 84,936 | ||||
9,600 | Kyowa Exeo Corp. | 236,338 | ||||
16,600 | Maeda Corp. | 143,893 | ||||
4,100 | Nippo Corp. | 116,806 | ||||
4,520 | Nishimatsu Construction Co., Ltd. | 140,773 | ||||
33,600 | Obayashi Corp. | 267,058 | ||||
2,300 | Okumura Corp. | 60,474 | ||||
22,400 | Penta-Ocean Construction Co., Ltd. | 155,859 | ||||
2,400 | Raito Kogyo Co., Ltd. | 39,015 | ||||
35,400 | Shimizu Corp. | 271,487 | ||||
3,600 | SHO-BOND Holdings Co., Ltd. | 149,872 | ||||
8,900 | Taisei Corp. | 291,606 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Japan (Continued) | ||||||
16,700 | Toda Corp. | $ | 114,996 | |||
3,177,504 | ||||||
Netherlands — 3.6% | ||||||
4,076 | Arcadis N.V. | 166,839 | ||||
4,805 | Boskalis Westminster | 154,175 | ||||
24,641 | Koninklijke BAM Groep N.V. (c) | 68,428 | ||||
389,442 | ||||||
Norway — 0.5% | ||||||
4,421 | Veidekke ASA | 59,151 | ||||
Philippines — 0.7% | ||||||
13,300 | Manila Electric Co. | 75,525 | ||||
South Korea — 4.3% | ||||||
29,039 | Daewoo Engineering & Construction Co., Ltd. (c) | 204,999 | ||||
6,872 | GS Engineering & Construction Corp. | 261,785 | ||||
466,784 | ||||||
Spain — 3.4% | ||||||
10,145 | ACS Actividades de Construccion y Servicios S.A. (b) | 271,744 | ||||
36,615 | Sacyr S.A. | 92,998 | ||||
459 | Tecnicas Reunidas S.A. (c) | 5,807 | ||||
370,549 | ||||||
Sweden — 5.5% | ||||||
5,824 | NCC AB, Class B | 99,425 | ||||
14,342 | Peab AB, Class B | 177,136 | ||||
11,950 | Skanska AB, Class B | 316,969 | ||||
593,530 | ||||||
United Kingdom — 1.9% | ||||||
47,729 | Balfour Beatty PLC | 202,428 | ||||
United States — 24.7% | ||||||
5,372 | AECOM (c) | 340,155 | ||||
3,342 | Dycom Industries, Inc. (c) | 249,079 | ||||
2,404 | EMCOR Group, Inc. | 296,149 | ||||
14,604 | Fluor Corp. (c) | 258,491 | ||||
4,245 | Granite Construction, Inc. | 176,295 | ||||
2,644 | Jacobs Engineering Group, Inc. | 352,762 | ||||
7,926 | KBR, Inc. | 302,377 | ||||
2,946 | MasTec, Inc. (c) | 312,570 | ||||
3,870 | Quanta Services, Inc. | 350,506 | ||||
2,128 | Tutor Perini Corp. (c) | 29,473 | ||||
2,667,857 |
First Trust Global Engineering and Construction ETF (FLM) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Total Common Stocks — 99.7% | $ | 10,765,373 | ||||
(Cost $9,747,563) | ||||||
Money Market Funds — 2.8% | ||||||
297,979 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (d) (e) | 297,979 | ||||
(Cost $297,979) | ||||||
Total Investments — 102.5% | 11,063,352 | |||||
(Cost $10,045,542) (f) | ||||||
Net Other Assets and Liabilities — (2.5)% | (266,051 | ) | ||||
Net Assets — 100.0% | $ | 10,797,301 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $283,827 and the total value of the collateral held by the Fund is $297,979. |
(c) | Non-income producing security. |
(d) | Rate shown reflects yield as of June 30, 2021. |
(e) | This security serves as collateral for securities on loan. |
(f) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $2,000,808 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $982,998. The net unrealized appreciation was $1,017,810. |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 10,765,373 | $ | — | $ | — | ||||||
Money Market Funds | 297,979 | — | — | |||||||||
Total Investments | $ | 11,063,352 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Industrials | 99.2 | % | ||
Utilities | 0.7 | |||
Energy | 0.1 | |||
Total | 100.0 | % | ||
Currency Exposure Diversification | % of Total Investments | |||
Japanese Yen | 29.5 | % | ||
United States Dollar | 24.8 | |||
Euro | 22.2 | |||
Swedish Krona | 5.5 | |||
Canadian Dollar | 4.9 | |||
South Korean Won | 4.3 | |||
Australian Dollar | 3.0 | |||
Hong Kong Dollar | 2.6 | |||
British Pound Sterling | 1.9 | |||
Philippine Peso | 0.7 | |||
Norwegian Krone | 0.6 | |||
Total | 100.0 | % | ||
First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund (GRID) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.7% | ||||||
Belgium — 2.8% | ||||||
115,060 | Elia Group S.A./N.V. | $ | 12,142,456 | |||
Canada — 0.2% | ||||||
21,598 | Fortis, Inc. | 956,020 | ||||
2,347 | Stella-Jones, Inc. | 84,500 | ||||
1,040,520 | ||||||
Cayman Islands — 0.1% | ||||||
834,544 | Wasion Holdings Ltd. | 261,188 | ||||
China — 0.3% | ||||||
37,846 | BYD Co., Ltd., Class H | 1,131,827 | ||||
France — 8.0% | ||||||
85,159 | Engie S.A. | 1,166,689 | ||||
208,790 | Schneider Electric SE | 32,847,877 | ||||
34,014,566 | ||||||
Germany — 2.0% | ||||||
91,148 | E. ON SE | 1,054,198 | ||||
390 | PSI Software AG | 15,538 | ||||
34,417 | Siemens AG | 5,453,014 | ||||
34,027 | SMA Solar Technology AG (b) | 1,952,008 | ||||
8,474,758 | ||||||
Ireland — 17.9% | ||||||
227,420 | Eaton Corp. PLC | 33,699,096 | ||||
496,435 | Johnson Controls International PLC | 34,070,334 | ||||
275,042 | nVent Electric PLC | 8,592,312 | ||||
76,361,742 | ||||||
Italy — 8.3% | ||||||
308,738 | Enel S.p.A. | 2,867,180 | ||||
454,180 | Prysmian S.p.A. | 16,280,146 | ||||
2,162,081 | Terna Rete Elettrica Nazionale S.p.A. | 16,110,176 | ||||
35,257,502 | ||||||
Japan — 2.1% | ||||||
3,535 | GS Yuasa Corp. | 90,209 | ||||
44,524 | Hitachi Ltd. | 2,549,324 | ||||
72,199 | Meidensha Corp. | 1,435,596 | ||||
12,553 | NEC Corp. | 646,322 | ||||
11,525 | NGK Insulators Ltd. | 193,371 | ||||
94,190 | Nissin Electric Co., Ltd. | 1,189,510 | ||||
76,426 | Osaki Electric Co., Ltd. | 418,264 | ||||
112,870 | Panasonic Corp. | 1,306,039 | ||||
18,900 | Takaoka Toko Co., Ltd. | 230,689 | ||||
17,386 | Toshiba Corp. | 751,967 | ||||
8,811,291 | ||||||
Jersey — 8.1% | ||||||
219,604 | Aptiv PLC (c) | 34,550,297 | ||||
Netherlands — 1.4% | ||||||
38,779 | Alfen Beheer BV (c) (d) (e) | 3,621,090 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Netherlands (Continued) | ||||||
11,546 | NXP Semiconductors N.V. | $ | 2,375,243 | |||
2,927 | STMicroelectronics N.V. | 106,484 | ||||
6,102,817 | ||||||
South Korea — 4.3% | ||||||
29,838 | Samsung SDI Co., Ltd. | 18,493,916 | ||||
Spain — 3.4% | ||||||
771,769 | Red Electrica Corp., S.A. (b) | 14,326,251 | ||||
Switzerland — 8.3% | ||||||
968,635 | ABB Ltd. | 32,861,878 | ||||
38,142 | Landis+Gyr Group AG | 2,663,035 | ||||
35,524,913 | ||||||
Taiwan — 0.1% | ||||||
22,048 | Advantech Co., Ltd. | 273,003 | ||||
United Kingdom — 0.7% | ||||||
152,129 | National Grid PLC | 1,937,729 | ||||
44,635 | SSE PLC | 926,462 | ||||
2,864,191 | ||||||
United States — 31.7% | ||||||
58,904 | Advanced Energy Industries, Inc. | 6,639,070 | ||||
23,605 | AES (The) Corp. | 615,382 | ||||
43,290 | American Superconductor Corp. (c) | 752,813 | ||||
15,782 | Analog Devices, Inc. | 2,717,029 | ||||
1,884 | Arcosa, Inc. | 110,666 | ||||
852 | AZZ, Inc. | 44,117 | ||||
1,667 | Belden, Inc. | 84,300 | ||||
156,110 | Cisco Systems, Inc. | 8,273,830 | ||||
1,096 | Digi International, Inc. (c) | 22,041 | ||||
27,593 | Emerson Electric Co. | 2,655,550 | ||||
1,754 | EnerSys | 171,418 | ||||
115,459 | Enphase Energy, Inc. (c) | 21,201,736 | ||||
887 | ESCO Technologies, Inc. | 83,209 | ||||
2,578 | Generac Holdings, Inc. (c) | 1,070,257 | ||||
347,370 | General Electric Co. | 4,675,600 | ||||
31,958 | Honeywell International, Inc. | 7,009,987 | ||||
2,299 | Hubbell, Inc. | 429,545 | ||||
41,112 | International Business Machines Corp. | 6,026,608 | ||||
60,351 | Itron, Inc. (c) | 6,033,893 | ||||
2,120 | MasTec, Inc. (c) | 224,932 | ||||
22,802 | MYR Group, Inc. (c) | 2,073,158 | ||||
12,709 | NVIDIA Corp. | 10,168,471 | ||||
80,932 | Oracle Corp. | 6,299,747 | ||||
173,219 | Quanta Services, Inc. | 15,688,445 | ||||
64,015 | SolarEdge Technologies, Inc. (c) | 17,691,826 | ||||
1,603 | SPX Corp. (c) | 97,911 | ||||
13,208 | Tesla, Inc. (c) | 8,977,478 | ||||
10,623 | Trimble, Inc. (c) | 869,280 | ||||
899 | Valmont Industries, Inc. | 212,209 | ||||
147,490 | Veoneer, Inc. (b) (c) | 3,399,645 | ||||
1,893 | WESCO International, Inc. (c) | 194,638 |
First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund (GRID) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United States (Continued) | ||||||
17,854 | Willdan Group, Inc. (c) | $ | 672,025 | |||
135,186,816 | ||||||
Total Common Stocks — 99.7% | 424,818,054 | |||||
(Cost $362,509,440) | ||||||
Money Market Funds — 4.0% | ||||||
16,953,431 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (f) (g) | 16,953,431 | ||||
(Cost $16,953,431) | ||||||
Total Investments — 103.7% | 441,771,485 | |||||
(Cost $379,462,871) (h) | ||||||
Net Other Assets and Liabilities — (3.7)% | (15,873,660 | ) | ||||
Net Assets — 100.0% | $ | 425,897,825 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $15,507,710 and the total value of the collateral held by the Fund is $16,953,431. |
(c) | Non-income producing security. |
(d) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(e) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(f) | Rate shown reflects yield as of June 30, 2021. |
(g) | This security serves as collateral for securities on loan. |
(h) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $63,375,704 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $1,067,090. The net unrealized appreciation was $62,308,614. |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 424,818,054 | $ | — | $ | — | ||||||
Money Market Funds | 16,953,431 | — | — | |||||||||
Total Investments | $ | 441,771,485 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Industrials | 49.4 | % | ||
Information Technology | 26.7 | |||
Utilities | 12.3 | |||
Consumer Discretionary | 11.6 | |||
Materials | 0.0 | * | ||
Total | 100.0 | % |
* | Amount is less than 0.1%. |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 60.1 | % | ||
Euro | 24.4 | |||
Swiss Franc | 8.0 | |||
South Korean Won | 4.2 | |||
Japanese Yen | 2.0 | |||
British Pound Sterling | 0.7 | |||
Hong Kong Dollar | 0.3 | |||
Canadian Dollar | 0.2 | |||
New Taiwan Dollar | 0.1 | |||
Total | 100.0 | % | ||
First Trust Indxx Global Natural Resources Income ETF (FTRI) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.5% | ||||||
Australia — 7.8% | ||||||
126,090 | Beach Energy Ltd. | $ | 117,256 | |||
127,995 | Evolution Mining Ltd. | 431,955 | ||||
94,157 | Fortescue Metals Group Ltd. | 1,648,111 | ||||
13,080 | Mineral Resources Ltd. | 527,057 | ||||
55,282 | St Barbara Ltd. | 70,688 | ||||
2,795,067 | ||||||
Bermuda — 1.4% | ||||||
61,446 | China Water Affairs Group Ltd. | 47,325 | ||||
318,000 | Kunlun Energy Co., Ltd. | 293,250 | ||||
123,000 | Nine Dragons Paper Holdings Ltd. | 157,784 | ||||
498,359 | ||||||
Brazil — 19.5% | ||||||
15,180 | Cia de Saneamento de Minas Gerais-COPASA | 47,123 | ||||
256,698 | Petroleo Brasileiro S.A., ADR | 3,139,416 | ||||
6,937 | SLC Agricola S.A. | 71,144 | ||||
163,748 | Vale S.A., ADR | 3,735,092 | ||||
6,992,775 | ||||||
Canada — 4.3% | ||||||
25,348 | Nutrien Ltd. | 1,536,342 | ||||
Cayman Islands — 0.2% | ||||||
97,000 | Lee & Man Paper Manufacturing Ltd. | 73,834 | ||||
China — 2.2% | ||||||
158,000 | China Coal Energy Co., Ltd., Class H | 94,218 | ||||
271,500 | China Shenhua Energy Co., Ltd., Class H | 532,209 | ||||
108,000 | Yanzhou Coal Mining Co., Ltd., Class H | 145,219 | ||||
771,646 | ||||||
France — 4.1% | ||||||
2,755 | Imerys S.A. | 128,710 | ||||
44,806 | Veolia Environnement S.A. | 1,353,185 | ||||
1,481,895 | ||||||
India — 1.6% | ||||||
862 | Bayer CropScience Ltd. | 67,127 | ||||
171,297 | Coal India Ltd. | 337,962 | ||||
73,812 | NMDC Ltd. | 182,817 | ||||
587,906 | ||||||
Indonesia — 0.3% | ||||||
1,126,553 | Adaro Energy Tbk PT | 93,620 | ||||
Ireland — 3.1% | ||||||
20,647 | Smurfit Kappa Group PLC | 1,120,057 | ||||
Japan — 0.2% | ||||||
9,926 | Itoham Yonekyu Holdings, Inc. | 63,883 | ||||
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Luxembourg — 0.6% | ||||||
3,792 | APERAM S.A. | $ | 194,288 | |||
Malaysia — 0.4% | ||||||
34,400 | PPB Group Bhd | 151,637 | ||||
Norway — 1.9% | ||||||
13,042 | Yara International ASA | 686,473 | ||||
Portugal — 0.2% | ||||||
17,162 | Navigator Co. SA (The) | 58,648 | ||||
South Africa — 4.4% | ||||||
8,416 | African Rainbow Minerals Ltd. | 150,492 | ||||
20,176 | Exxaro Resources Ltd. | 237,958 | ||||
60,461 | Impala Platinum Holdings Ltd. | 997,056 | ||||
4,396 | Kumba Iron Ore Ltd. | 197,201 | ||||
1,582,707 | ||||||
Sweden — 2.3% | ||||||
21,571 | Boliden AB | 829,256 | ||||
Taiwan — 0.7% | ||||||
56,098 | Taiwan Fertilizer Co., Ltd. | 118,588 | ||||
82,293 | YFY, Inc. | 134,977 | ||||
253,565 | ||||||
Thailand — 0.1% | ||||||
105,150 | TTW PCL | 38,386 | ||||
United Kingdom — 26.7% | ||||||
59,911 | BHP Group PLC, ADR | 3,576,088 | ||||
16,754 | Ferrexpo PLC | 99,146 | ||||
38,783 | Mondi PLC | 1,019,857 | ||||
41,752 | Rio Tinto PLC, ADR | 3,502,575 | ||||
18,926 | Severn Trent PLC | 654,769 | ||||
53,897 | United Utilities Group PLC | 726,470 | ||||
9,578,905 | ||||||
United States — 17.5% | ||||||
2,510 | Andersons (The), Inc. | 76,630 | ||||
24,206 | Archer-Daniels-Midland Co. | 1,466,884 | ||||
31,401 | Cabot Oil & Gas Corp. | 548,262 | ||||
17,123 | CF Industries Holdings, Inc. | 880,978 | ||||
26,053 | International Paper Co. | 1,597,309 | ||||
2,196 | SJW Group (b) | 139,007 | ||||
21,300 | Tyson Foods, Inc., Class A | 1,571,088 | ||||
6,280,158 | ||||||
Total Common Stocks — 99.5% | 35,669,407 | |||||
(Cost $33,727,265) | ||||||
Money Market Funds — 0.2% | ||||||
77,400 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (c) (d) | 77,400 | ||||
(Cost $77,400) | ||||||
First Trust Indxx Global Natural Resources Income ETF (FTRI) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Description | Value | |||||
Total Investments — 99.7% | $ | 35,746,807 | ||||
(Cost $33,804,665) (e) | ||||||
Net Other Assets and Liabilities — 0.3% | 123,000 | |||||
Net Assets — 100.0% | $ | 35,869,807 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $75,960 and the total value of the collateral held by the Fund is $77,400. |
(c) | Rate shown reflects yield as of June 30, 2021. |
(d) | This security serves as collateral for securities on loan. |
(e) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $2,087,766 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $145,624. The net unrealized appreciation was $1,942,142. |
ADR | - | American Depositary Receipt |
| |||
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Total Value at 06/30/2021 |
Level 1 | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |||||||||||||
Common Stocks: | ||||||||||||||||
Thailand | $ | 38,386 | $ | — | $ | 38,386 | $ | — | ||||||||
Other Country Categories* | 35,631,021 | 35,631,021 | — | — | ||||||||||||
Money Market Funds | 77,400 | 77,400 | — | — | ||||||||||||
Total Investments | $ | 35,746,807 | $ | 35,708,421 | $ | 38,386 | $ | — |
* See Portfolio of Investments for country breakout.
Sector Allocation | % of Total Long-Term Investments | |||
Materials | 66.5 | % | ||
Energy | 14.7 | |||
Consumer Staples | 9.5 | |||
Utilities | 9.3 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 61.1 | % | ||
Euro | 8.0 | |||
Australian Dollar | 7.8 | |||
British Pound Sterling | 7.0 | |||
South African Rand | 4.4 | |||
Hong Kong Dollar | 3.8 | |||
Swedish Krona | 2.3 | |||
Norwegian Krone | 1.9 | |||
Indian Rupee | 1.7 | |||
New Taiwan Dollar | 0.7 | |||
Malaysian Ringgit | 0.4 | |||
Brazilian Real | 0.3 | |||
Indonesian Rupiah | 0.3 | |||
Japanese Yen | 0.2 | |||
Thai Baht | 0.1 | |||
Total | 100.0 | % | ||
First Trust Indxx Global Agriculture ETF (FTAG) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.8% | ||||||
Australia — 0.8% | ||||||
18,941 | Incitec Pivot Ltd. | $ | 33,807 | |||
3,703 | Nufarm Ltd. (b) | 12,719 | ||||
46,526 | ||||||
Bermuda — 1.9% | ||||||
1,379 | Bunge Ltd. | 107,769 | ||||
Canada — 5.9% | ||||||
5,469 | Nutrien Ltd. | 331,378 | ||||
Chile — 1.2% | ||||||
1,393 | Sociedad Quimica y Minera de Chile S.A., ADR | 65,931 | ||||
China — 0.1% | ||||||
17,003 | China BlueChemical Ltd., Class H | 4,971 | ||||
4,715 | First Tractor Co., Ltd., Class H | 3,055 | ||||
8,026 | ||||||
Germany — 22.7% | ||||||
7,068 | BASF SE | 556,824 | ||||
8,994 | Bayer AG | 546,135 | ||||
4,544 | Evonik Industries AG | 152,374 | ||||
1,867 | K+S AG (b) | 25,414 | ||||
1,280,747 | ||||||
India — 7.7% | ||||||
438 | Bayer CropScience Ltd. | 34,109 | ||||
4,061 | Chambal Fertilizers and Chemicals Ltd. | 16,751 | ||||
2,860 | Coromandel International Ltd. | 34,664 | ||||
1,315 | Escorts Ltd. | 21,585 | ||||
1,874 | Godrej Agrovet Ltd. (c) (d) | 15,988 | ||||
12,121 | Mahindra & Mahindra Ltd. | 126,820 | ||||
1,478 | PI Industries Ltd. | 57,871 | ||||
4,862 | Sumitomo Chemical India Ltd. | 25,265 | ||||
2,484 | Tata Chemicals Ltd. | 24,188 | ||||
7,451 | UPL Ltd. | 79,477 | ||||
436,718 | ||||||
Japan — 8.6% | ||||||
11,800 | Kubota Corp. | 238,666 | ||||
1,300 | Kumiai Chemical Industry Co., Ltd. | 9,946 | ||||
2,000 | Mitsui Chemicals, Inc. | 69,040 | ||||
1,400 | Nissan Chemical Corp. | 68,554 | ||||
500 | Sakata Seed Corp. | 16,427 | ||||
16,100 | Sumitomo Chemical Co., Ltd. | 85,359 | ||||
487,992 | ||||||
Malaysia — 2.7% | ||||||
78,001 | Petronas Chemicals Group Bhd | 151,436 | ||||
Mexico — 0.9% | ||||||
20,479 | Orbia Advance Corp. SAB de CV | 53,535 | ||||
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Netherlands — 4.8% | ||||||
13,203 | CNH Industrial N.V. | $ | 220,754 | |||
2,055 | OCI N.V. (b) | 50,001 | ||||
270,755 | ||||||
Norway — 2.4% | ||||||
2,615 | Yara International ASA | 137,642 | ||||
Qatar — 3.8% | ||||||
59,000 | Industries Qatar QSC | 214,708 | ||||
Russia — 1.5% | ||||||
1,263 | PhosAgro PJSC | 82,438 | ||||
Singapore — 3.7% | ||||||
62,400 | Wilmar International Ltd. | 208,820 | ||||
Switzerland — 0.9% | ||||||
100 | Bucher Industries AG | 52,289 | ||||
Taiwan — 0.4% | ||||||
9,557 | Taiwan Fertilizer Co., Ltd. | 20,203 | ||||
Turkey — 0.3% | ||||||
3,257 | Gubre Fabrikalari TAS (b) | 19,284 | ||||
United States — 29.5% | ||||||
735 | AGCO Corp. | 95,829 | ||||
116 | Alamo Group, Inc. | 17,711 | ||||
2,092 | CF Industries Holdings, Inc. | 107,633 | ||||
332 | Compass Minerals International, Inc. | 19,674 | ||||
5,805 | Corteva, Inc. | 257,452 | ||||
1,662 | Deere & Co. | 586,204 | ||||
1,257 | FMC Corp. | 136,007 | ||||
106 | Lindsay Corp. | 17,520 | ||||
3,704 | Mosaic (The) Co. | 118,195 | ||||
350 | Raven Industries, Inc. | 20,247 | ||||
543 | Scotts Miracle-Gro (The) Co. | 104,213 | ||||
433 | SiteOne Landscape Supply, Inc. (b) | 73,290 | ||||
1,044 | Toro (The) Co. | 114,715 | ||||
1,668,690 | ||||||
Total Investments — 99.8% | 5,644,887 | |||||
(Cost $4,837,094) (e) | ||||||
Net Other Assets and Liabilities — 0.2% | 10,156 | |||||
Net Assets — 100.0% | $ | 5,655,043 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
First Trust Indxx Global Agriculture ETF (FTAG) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
(b) | Non-income producing security. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $1,078,700 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $270,907. The net unrealized appreciation was $807,793. |
ADR | - | American Depositary Receipt |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 5,644,887 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Materials | 52.2 | % | ||
Industrials | 29.7 | |||
Health Care | 9.7 | |||
Consumer Staples | 6.2 | |||
Consumer Discretionary | 2.2 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 36.6 | % | ||
Euro | 23.6 | |||
Japanese Yen | 8.6 | |||
Indian Rupee | 7.7 | |||
Canadian Dollar | 5.9 | |||
Qatar Riyal | 3.8 | |||
Singapore Dollar | 3.7 | |||
Malaysian Ringgit | 2.7 | |||
Norwegian Krone | 2.4 | |||
Russian Ruble | 1.5 | |||
Mexican Peso | 1.0 | |||
Swiss Franc | 0.9 | |||
Australian Dollar | 0.8 | |||
New Taiwan Dollar | 0.4 | |||
Turkish Lira | 0.3 | |||
Hong Kong Dollar | 0.1 | |||
Total | 100.0 | % | ||
First Trust BICK Index Fund (BICK) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.6% | ||||||
Brazil — 22.5% | ||||||
261,086 | Ambev S.A., ADR | $ | 898,136 | |||
79,345 | B2W Cia Digital (b) | 1,060,847 | ||||
270,289 | B3 S.A. - Brasil Bolsa Balcao | 910,238 | ||||
177,826 | Banco Bradesco S.A., ADR | 912,247 | ||||
141,561 | Banco do Brasil S.A. | 914,178 | ||||
108,140 | Centrais Eletricas Brasileiras S.A. | 938,164 | ||||
105,540 | Cia Siderurgica Nacional S.A. | 928,552 | ||||
202,861 | Cosan S.A. | 972,744 | ||||
144,012 | Gerdau S.A. (Preference Shares) | 855,305 | ||||
158,484 | Itau Unibanco Holding S.A., ADR | 952,489 | ||||
436,544 | Itausa S.A. (Preference Shares) | 981,254 | ||||
156,723 | JBS S.A. | 919,768 | ||||
75,672 | Localiza Rent a Car S.A. | 973,704 | ||||
101,301 | Lojas Renner S.A. | 905,921 | ||||
235,162 | Magazine Luiza S.A. | 999,975 | ||||
91,966 | Natura & Co. Holding S.A. (b) | 1,044,505 | ||||
240,287 | Petro Rio S.A. (b) | 944,954 | ||||
88,478 | Petroleo Brasileiro S.A., ADR | 1,082,086 | ||||
78,065 | Suzano S.A. (b) | 940,145 | ||||
41,978 | Vale S.A., ADR | 957,518 | ||||
365,244 | Via Varejo S.A. (b) | 1,158,048 | ||||
138,825 | WEG S.A. | 938,935 | ||||
21,189,713 | ||||||
Cayman Islands — 25.5% | ||||||
4,222 | Alibaba Group Holding Ltd., ADR (b) | 957,465 | ||||
44,244 | ANTA Sports Products Ltd. | 1,041,665 | ||||
4,603 | Baidu, Inc., ADR (b) | 938,552 | ||||
8,428 | Bilibili, Inc., ADR (b) | 1,026,868 | ||||
6,350 | Futu Holdings Ltd., ADR (b) | 1,137,221 | ||||
12,217 | JD.com, Inc., ADR (b) | 975,039 | ||||
17,409 | KE Holdings, Inc., ADR (b) | 830,061 | ||||
23,886 | Meituan, Class B (b) (c) (d) | 985,675 | ||||
7,660 | NetEase, Inc., ADR | 882,815 | ||||
88,305 | New Oriental Education & Technology Group, Inc., ADR (b) | 723,218 | ||||
23,391 | NIO, Inc., ADR (b) | 1,244,401 | ||||
18,395 | Pagseguro Digital Ltd., Class A (b) | 1,028,648 | ||||
7,234 | Pinduoduo, Inc., ADR (b) | 918,863 | ||||
126,356 | Smoore International Holdings Ltd. (c) (d) | 700,594 | ||||
13,693 | StoneCo., Ltd., Class A (b) | 918,253 | ||||
22,601 | TAL Education Group, ADR (b) | 570,223 | ||||
11,325 | Tencent Holdings Ltd. | 851,822 | ||||
57,392 | Tencent Music Entertainment Group, ADR (b) | 888,428 | ||||
21,586 | Trip.com Group Ltd., ADR (b) | 765,440 | ||||
39,056 | Vipshop Holdings Ltd., ADR (b) | 784,244 | ||||
57,969 | Wuxi Biologics Cayman, Inc. (b) (c) (d) | 1,062,425 | ||||
239,800 | Xiaomi Corp., Class B (b) (c) (d) | 833,894 | ||||
22,778 | XP, Inc., Class A (b) | 991,982 | ||||
28,116 | XPeng, Inc., ADR (b) | 1,248,913 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Cayman Islands (Continued) | ||||||
713,552 | Yatra Online, Inc. (b) | $ | 1,612,628 | |||
23,919,337 | ||||||
China — 3.9% | ||||||
38,744 | BYD Co., Ltd., Class H | 1,158,682 | ||||
1,098,809 | China Construction Bank Corp., Class H | 864,692 | ||||
1,374,621 | Industrial & Commercial Bank of China Ltd., Class H | 807,320 | ||||
83,081 | Ping An Insurance (Group) Co. of China Ltd., Class H | 813,764 | ||||
3,644,458 | ||||||
India — 17.7% | ||||||
29,521 | Axis Bank Ltd., GDR (b) (d) | 1,484,906 | ||||
21,096 | Dr. Reddy’s Laboratories Ltd., ADR | 1,550,767 | ||||
19,673 | HDFC Bank Ltd., ADR (b) | 1,438,490 | ||||
83,598 | ICICI Bank Ltd., ADR (b) | 1,429,526 | ||||
77,849 | Infosys Ltd., ADR | 1,649,620 | ||||
26,116 | Reliance Industries Ltd., GDR (c) | 1,478,166 | ||||
467,576 | Sify Technologies Ltd., ADR (b) (e) | 1,692,625 | ||||
25,959 | State Bank of India, GDR (d) | 1,451,108 | ||||
69,287 | Tata Motors Ltd., ADR (b) | 1,578,358 | ||||
101,524 | Vedanta Ltd., ADR | 1,441,641 | ||||
189,861 | Wipro Ltd., ADR | 1,482,814 | ||||
16,678,021 | ||||||
Jersey — 1.7% | ||||||
20,209 | WNS (Holdings) Ltd., ADR (b) | 1,614,093 | ||||
Mauritius — 3.8% | ||||||
72,350 | Azure Power Global Ltd. (b) | 1,947,662 | ||||
54,749 | MakeMyTrip Ltd. (b) | 1,645,207 | ||||
3,592,869 | ||||||
South Korea — 24.5% | ||||||
8,295 | Celltrion Healthcare Co., Ltd. (f) | 852,224 | ||||
3,656 | Celltrion, Inc. (f) | 871,674 | ||||
20,954 | HMM Co., Ltd. (b) | 816,837 | ||||
3,788 | HYBE Co., Ltd. (b) | 983,874 | ||||
3,585 | Hyundai Mobis Co., Ltd. | 929,556 | ||||
4,271 | Hyundai Motor Co. | 908,320 | ||||
8,160 | Kakao Corp. | 1,181,086 | ||||
17,069 | KB Financial Group, Inc. | 845,758 | ||||
11,725 | Kia Corp. | 932,878 | ||||
4,336 | Kumho Petrochemical Co., Ltd. | 843,213 | ||||
1,225 | LG Chem Ltd. | 924,610 | ||||
6,603 | LG Electronics, Inc. | 958,656 | ||||
2,769 | NAVER Corp. | 1,026,557 | ||||
1,156 | NCSoft Corp. | 841,735 | ||||
2,827 | POSCO | 873,592 | ||||
1,188 | Samsung Biologics Co., Ltd. (b) (c) (d) | 887,189 | ||||
7,247 | Samsung C&T Corp. | 878,405 |
First Trust BICK Index Fund (BICK) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
South Korea (Continued) | ||||||
5,887 | Samsung Electro-Mechanics Co., Ltd. | $ | 925,276 | |||
12,468 | Samsung Electronics Co., Ltd. | 893,458 | ||||
1,632 | Samsung SDI Co., Ltd. | 1,011,531 | ||||
23,644 | Shinhan Financial Group Co., Ltd. | 852,414 | ||||
3,787 | SK, Inc. | 949,987 | ||||
7,903 | SK Hynix, Inc. | 894,759 | ||||
3,787 | SK Innovation Co., Ltd. (b) | 993,703 | ||||
3,166 | SK Telecom Co., Ltd. | 899,631 | ||||
22,976,923 | ||||||
Total Common Stocks — 99.6% | 93,615,414 | |||||
(Cost $70,699,380) | ||||||
Money Market Funds — 1.8% | ||||||
1,681,500 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (g) (h) | 1,681,500 | ||||
(Cost $1,681,500) | ||||||
Total Investments — 101.4% | 95,296,914 | |||||
(Cost $72,380,880) (i) | ||||||
Net Other Assets and Liabilities — (1.4)% | (1,300,070 | ) | ||||
Net Assets — 100.0% | $ | 93,996,844 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Non-income producing security. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $1,623,208 and the total value of the collateral held by the Fund is $1,681,500. |
(f) | Non-income producing security which makes payment- in-kind (“PIK”) distributions. For the fiscal year-to-date period (October 1, 2020 to June 30, 2021), the Fund received 140 and 50 shares of Celltrion Healthcare Co., Ltd. and Celltrion, Inc., respectively. |
(g) | Rate shown reflects yield as of June 30, 2021. |
(h) | This security serves as collateral for securities on loan. |
(i) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $25,561,259 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $2,645,225. The net unrealized appreciation was $22,916,034. |
ADR | - | American Depositary Receipt |
GDR | - | Global Depositary Receipt |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 93,615,414 | $ | — | $ | — | ||||||
Money Market Funds | 1,681,500 | — | — | |||||||||
Total Investments | $ | 95,296,914 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
First Trust BICK Index Fund (BICK) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Sector Allocation | % of Total Long-Term Investments | |||
Consumer Discretionary | 25.7 | % | ||
Financials | 17.9 | |||
Information Technology | 12.0 | |||
Communication Services | 12.0 | |||
Materials | 8.3 | |||
Energy | 5.8 | |||
Health Care | 5.6 | |||
Industrials | 4.9 | |||
Consumer Staples | 3.8 | |||
Utilities | 3.1 | |||
Real Estate | 0.9 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 49.1 | % | ||
South Korean Won | 24.1 | |||
Brazilian Real | 17.2 | |||
Hong Kong Dollar | 9.6 | |||
Total | 100.0 | % | ||
First Trust Indxx NextG ETF (NXTG) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.5% | ||||||
Australia — 0.7% | ||||||
2,482,123 | Telstra Corp., Ltd. | $ | 6,999,132 | |||
Brazil — 0.6% | ||||||
730,646 | Telefonica Brasil S.A., ADR | 6,210,491 | ||||
Canada — 1.9% | ||||||
135,254 | BCE, Inc. | 6,669,956 | ||||
133,172 | Rogers Communications, Inc., Class B | 7,079,731 | ||||
302,817 | TELUS Corp. | 6,791,152 | ||||
20,540,839 | ||||||
Cayman Islands — 1.2% | ||||||
158,538 | GDS Holdings Ltd., ADR (b) | 12,443,648 | ||||
China — 2.4% | ||||||
88,595,433 | China Tower Corp., Ltd., Class H (c) (d) | 12,209,357 | ||||
4,215,052 | ZTE Corp., Class H | 13,164,743 | ||||
25,374,100 | ||||||
Finland — 2.3% | ||||||
202,913 | Elisa OYJ | 12,107,170 | ||||
2,266,452 | Nokia OYJ, ADR (b) | 12,057,525 | ||||
24,164,695 | ||||||
France — 0.6% | ||||||
539,380 | Orange S.A. | 6,149,450 | ||||
Germany — 2.4% | ||||||
318,519 | Deutsche Telekom AG | 6,727,291 | ||||
300,353 | Infineon Technologies AG | 12,044,748 | ||||
2,480,861 | Telefonica Deutschland Holding AG | 6,545,225 | ||||
25,317,264 | ||||||
Guernsey — 1.1% | ||||||
153,047 | Amdocs Ltd. | 11,839,716 | ||||
Hong Kong — 1.1% | ||||||
10,344,397 | Lenovo Group Ltd. | 11,897,462 | ||||
India — 6.5% | ||||||
919,468 | Bharti Airtel Ltd. | 6,502,332 | ||||
930,043 | HCL Technologies Ltd. | 12,305,897 | ||||
619,884 | Infosys Ltd., ADR | 13,135,342 | ||||
280,093 | Tata Consultancy Services Ltd. | 12,607,577 | ||||
845,894 | Tech Mahindra Ltd. | 12,466,495 | ||||
1,496,298 | Wipro Ltd., ADR | 11,686,087 | ||||
68,703,730 | ||||||
Italy — 1.7% | ||||||
1,069,404 | Infrastrutture Wireless Italiane S.p.A. (c) (d) (e) | 12,061,624 | ||||
12,445,390 | Telecom Italia S.p.A. | 6,181,744 | ||||
18,243,368 | ||||||
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Japan — 10.0% | ||||||
72,032 | Fujitsu Ltd. | $ | 13,486,346 | |||
207,048 | KDDI Corp. | 6,457,728 | ||||
196,071 | Kyocera Corp. | 12,121,298 | ||||
773,365 | Mitsubishi Electric Corp. | 11,225,087 | ||||
262,359 | NEC Corp. | 13,508,200 | ||||
470,166 | Nippon Telegraph & Telephone Corp. | 12,249,836 | ||||
1,142,359 | Renesas Electronics Corp. (b) | 12,349,549 | ||||
959,098 | SoftBank Corp. | 12,548,260 | ||||
125,176 | Sony Group Corp. | 12,185,773 | ||||
106,132,077 | ||||||
Malaysia — 0.6% | ||||||
6,667,355 | DiGi.Com Bhd | 6,632,826 | ||||
Netherlands — 2.3% | ||||||
61,326 | NXP Semiconductors N.V. | 12,615,985 | ||||
325,809 | STMicroelectronics N.V. | 11,823,542 | ||||
24,439,527 | ||||||
New Zealand — 0.6% | ||||||
2,009,002 | Spark New Zealand Ltd. | 6,740,581 | ||||
Norway — 1.1% | ||||||
707,758 | Telenor ASA | 11,927,282 | ||||
Philippines — 1.3% | ||||||
180,025 | Globe Telecom, Inc. | 6,785,742 | ||||
246,613 | PLDT, Inc., ADR (e) | 6,480,990 | ||||
13,266,732 | ||||||
Qatar — 1.1% | ||||||
5,796,677 | Ooredoo QPSC | 11,614,051 | ||||
Russia — 0.6% | ||||||
723,710 | Mobile TeleSystems PJSC, ADR | 6,701,555 | ||||
Singapore — 0.6% | ||||||
3,901,552 | Singapore Telecommunications Ltd. | 6,644,273 | ||||
South Africa — 1.2% | ||||||
862,421 | MTN Group Ltd. (b) | 6,234,434 | ||||
688,096 | Vodacom Group Ltd. | 6,204,911 | ||||
12,439,345 | ||||||
South Korea — 5.2% | ||||||
835,076 | KT Corp., ADR | 11,649,310 | ||||
91,719 | LG Electronics, Inc. | 13,316,216 | ||||
169,850 | Samsung Electronics Co., Ltd. | 12,171,465 | ||||
73,180 | Samsung SDS Co., Ltd. | 12,021,755 | ||||
23,340 | SK Telecom Co., Ltd. | 6,632,154 | ||||
55,790,900 | ||||||
Spain — 1.3% | ||||||
110,650 | Cellnex Telecom S.A. (c) (d) | 7,048,222 |
First Trust Indxx NextG ETF (NXTG) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Spain (Continued) | ||||||
1,375,263 | Telefonica S.A. | $ | 6,426,645 | |||
13,474,867 | ||||||
Sweden — 2.9% | ||||||
491,222 | Tele2 AB, Class B (e) | 6,692,664 | ||||
937,126 | Telefonaktiebolaget LM Ericsson, Class B | 11,777,996 | ||||
2,775,742 | Telia Co., AB | 12,318,468 | ||||
30,789,128 | ||||||
Switzerland — 0.6% | ||||||
11,660 | Swisscom AG | 6,656,376 | ||||
Taiwan — 7.5% | ||||||
2,928,388 | ASE Technology Holding Co., Ltd. | 11,771,358 | ||||
1,657,969 | Chunghwa Telecom Co., Ltd. | 6,783,615 | ||||
1,156,466 | Delta Electronics, Inc. | 12,576,373 | ||||
341,841 | MediaTek, Inc. | 11,802,639 | ||||
3,296,205 | Taiwan Mobile Co., Ltd. | 12,066,861 | ||||
104,275 | Taiwan Semiconductor Manufacturing Co., Ltd., ADR | 12,529,684 | ||||
6,624,416 | United Microelectronics Corp. | 12,624,728 | ||||
80,155,258 | ||||||
Thailand — 0.6% | ||||||
1,232,700 | Advanced Info Service PCL | 6,576,964 | ||||
United Arab Emirates — 0.6% | ||||||
1,143,404 | Emirates Telecommunications Group Co. PJSC | 6,848,315 | ||||
United Kingdom — 1.7% | ||||||
4,467,199 | BT Group PLC (b) | 11,988,167 | ||||
3,737,288 | Vodafone Group PLC | 6,273,015 | ||||
18,261,182 | ||||||
United States — 37.2% | ||||||
151,171 | Advanced Micro Devices, Inc. (b) | 14,199,492 | ||||
45,527 | American Tower Corp. | 12,298,664 | ||||
73,679 | Analog Devices, Inc. | 12,684,577 | ||||
97,768 | Apple, Inc. | 13,390,305 | ||||
33,399 | Arista Networks, Inc. (b) | 12,100,792 | ||||
235,119 | AT&T, Inc. | 6,766,725 | ||||
26,307 | Broadcom, Inc. | 12,544,230 | ||||
208,939 | Ciena Corp. (b) | 11,886,540 | ||||
224,050 | Cisco Systems, Inc. | 11,874,650 | ||||
89,377 | CoreSite Realty Corp. | 12,030,144 | ||||
61,574 | Crown Castle International Corp. | 12,013,087 | ||||
150,085 | CyrusOne, Inc. | 10,734,079 | ||||
75,207 | Digital Realty Trust, Inc. | 11,315,645 | ||||
14,981 | Equinix, Inc. | 12,023,751 | ||||
63,459 | F5 Networks, Inc. (b) | 11,845,257 | ||||
788,835 | Hewlett Packard Enterprise Co. | 11,501,214 | ||||
214,874 | Intel Corp. | 12,063,026 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United States (Continued) | ||||||
81,902 | International Business Machines Corp. | $ | 12,006,014 | |||
426,184 | Juniper Networks, Inc. | 11,656,132 | ||||
82,782 | Keysight Technologies, Inc. (b) | 12,782,369 | ||||
151,692 | Lumentum Holdings, Inc. (b) | 12,443,295 | ||||
238,021 | Marvell Technology, Inc. | 13,883,765 | ||||
80,354 | Microchip Technology, Inc. | 12,032,208 | ||||
155,518 | Micron Technology, Inc. (b) | 13,215,920 | ||||
17,689 | NVIDIA Corp. | 14,152,969 | ||||
67,407 | Qorvo, Inc. (b) | 13,188,180 | ||||
91,860 | QUALCOMM, Inc. | 13,129,550 | ||||
38,693 | SBA Communications Corp. | 12,331,459 | ||||
72,779 | Skyworks Solutions, Inc. | 13,955,373 | ||||
46,828 | T-Mobile US, Inc. (b) | 6,782,099 | ||||
119,651 | Verizon Communications, Inc. | 6,704,045 | ||||
75,414 | VMware, Inc., Class A (b) (e) | 12,063,978 | ||||
95,733 | Xilinx, Inc. | 13,846,821 | ||||
395,446,355 | ||||||
Total Common Stocks — 99.5% | 1,058,421,489 | |||||
(Cost $883,202,980) | ||||||
Money Market Funds — 2.4% | ||||||
25,892,677 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (f) (g) | 25,892,677 | ||||
(Cost $25,892,677) | ||||||
Total Investments — 101.9% | 1,084,314,166 | |||||
(Cost $909,095,657) (h) | ||||||
Net Other Assets and Liabilities — (1.9)% | (20,386,512 | ) | ||||
Net Assets — 100.0% | $ | 1,063,927,654 |
\
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Non-income producing security. |
First Trust Indxx NextG ETF (NXTG) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $24,788,809 and the total value of the collateral held by the Fund is $25,892,677. |
(f) | Rate shown reflects yield as of June 30, 2021. |
(g) | This security serves as collateral for securities on loan. |
(h) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $181,759,447 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $6,540,938. The net unrealized appreciation was $175,218,509. |
ADR | - | American Depositary Receipt |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 1,058,421,489 | $ | — | $ | — | ||||||
Money Market Funds | 25,892,677 | — | — | |||||||||
Total Investments | $ | 1,084,314,166 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Information Technology | 56.8 | % | ||
Communication Services | 31.9 | |||
Real Estate | 7.8 | |||
Consumer Discretionary | 2.4 | |||
Industrials | 1.1 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 49.7 | % | ||
Japanese Yen | 9.8 | |||
Euro | 8.0 | |||
New Taiwan Dollar | 6.2 | |||
South Korean Won | 4.1 | |||
Indian Rupee | 4.1 | |||
Hong Kong Dollar | 3.4 | |||
Swedish Krona | 2.8 | |||
Canadian Dollar | 1.9 | |||
British Pound Sterling | 1.7 | |||
South African Rand | 1.2 | |||
Norwegian Krone | 1.1 | |||
Qatar Riyal | 1.1 | |||
Australian Dollar | 0.7 | |||
United Arab Emirates Dirham | 0.6 | |||
Philippine Peso | 0.6 | |||
New Zealand Dollar | 0.6 | |||
Swiss Franc | 0.6 | |||
Singapore Dollar | 0.6 | |||
Malaysian Ringgit | 0.6 | |||
Thai Baht | 0.6 | |||
Total | 100.0 | % | ||
First Trust NASDAQ Global Auto Index Fund (CARZ) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 100.0% | ||||||
Bermuda — 0.8% | ||||||
589,699 | Brilliance China Automotive Holdings Ltd. (b) (c) | $ | 554,435 | |||
Cayman Islands — 5.6% | ||||||
1,059,291 | Geely Automobile Holdings Ltd. | 3,335,737 | ||||
262,803 | Yadea Group Holdings Ltd. (d) (e) | 565,255 | ||||
3,900,992 | ||||||
China — 10.6% | ||||||
430,838 | BAIC Motor Corp., Ltd., Class H (d) (e) | 160,365 | ||||
115,964 | BYD Co., Ltd., Class H | 3,468,032 | ||||
182,800 | Chongqing Changan Automobile Co., Ltd., Class B (f) | 187,643 | ||||
536,302 | Dongfeng Motor Group Co., Ltd., Class H | 482,128 | ||||
756,886 | Great Wall Motor Co., Ltd., Class H | 2,446,819 | ||||
688,035 | Guangzhou Automobile Group Co., Ltd., Class H | 617,648 | ||||
7,362,635 | ||||||
France — 3.0% | ||||||
50,548 | Renault S.A. (f) | 2,042,958 | ||||
Germany — 21.9% | ||||||
25,425 | Bayerische Motoren Werke AG | 2,692,484 | ||||
57,879 | Daimler AG | 5,167,829 | ||||
23,831 | Porsche Automobil Holding SE (Preference Shares) | 2,553,352 | ||||
19,302 | Volkswagen AG (Preference Shares) | 4,833,797 | ||||
15,247,462 | ||||||
Japan — 26.5% | ||||||
87,964 | Honda Motor Co., Ltd. | 2,810,857 | ||||
146,597 | Mazda Motor Corp. (f) | 1,377,625 | ||||
167,435 | Mitsubishi Motors Corp. (f) | 470,226 | ||||
546,909 | Nissan Motor Co., Ltd. (f) | 2,713,992 | ||||
9,200 | Nissan Shatai Co., Ltd. | 59,376 | ||||
138,410 | Subaru Corp. | 2,730,325 | ||||
62,211 | Suzuki Motor Corp. | 2,632,467 | ||||
64,652 | Toyota Motor Corp. | 5,650,758 | ||||
18,445,626 | ||||||
Singapore — 0.6% | ||||||
24,150 | Jardine Cycle & Carriage Ltd. | 383,613 | ||||
South Korea — 7.9% | ||||||
12,742 | Hyundai Motor Co. | 2,709,860 | ||||
34,982 | Kia Corp. | 2,783,277 | ||||
5,493,137 | ||||||
Taiwan — 0.5% | ||||||
62,186 | China Motor Corp. (f) | 171,409 | ||||
122,095 | Yulon Motor Co., Ltd. (f) | 186,676 | ||||
358,085 | ||||||
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United Kingdom — 0.6% | ||||||
16,559 | Aston Martin Lagonda Global Holdings PLC (d) (e) (f) | $ | 430,061 | |||
United States — 22.0% | ||||||
26,098 | Canoo, Inc. (f) (g) | 259,414 | ||||
39,775 | Fisker, Inc. (f) | 766,862 | ||||
185,488 | Ford Motor Co. (f) | 2,756,352 | ||||
90,883 | General Motors Co. (f) | 5,377,547 | ||||
27,202 | Lordstown Motors Corp., Class A (f) (g) | 300,854 | ||||
8,621 | Tesla, Inc. (f) | 5,859,694 | ||||
15,320,723 | ||||||
Total Common Stocks — 100.0% | 69,539,727 | |||||
(Cost $61,648,563) | ||||||
Money Market Funds — 0.6% | ||||||
413,770 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (h) (i) | 413,770 | ||||
(Cost $413,770) | ||||||
Total Investments — 100.6% | 69,953,497 | |||||
(Cost $62,062,333) (j) | ||||||
Net Other Assets and Liabilities — (0.6)% | (404,972 | ) | ||||
Net Assets — 100.0% | $ | 69,548,525 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures adopted by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940, as amended. At June 30, 2021, securities noted as such are valued at $554,435 or 0.8% of net assets. |
(c) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors, L.P., the Fund’s advisor. |
First Trust NASDAQ Global Auto Index Fund (CARZ) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
(d) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(e) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(f) | Non-income producing security. |
(g) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $400,708 and the total value of the collateral held by the Fund is $413,770. |
(h) | Rate shown reflects yield as of June 30, 2021. |
(i) | This security serves as collateral for securities on loan. |
(j) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $9,818,027 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $1,926,863. The net unrealized appreciation was $7,891,164. |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Total Value at 6/30/21 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |||||||||||||
Common Stocks: | ||||||||||||||||
Bermuda | $ | 554,435 | $ | — | $ | 554,435 | $ | — | ||||||||
Other Country Categories* | 68,985,292 | 68,985,292 | — | — | ||||||||||||
Money Market Funds | 413,770 | 413,770 | — | — | ||||||||||||
Total Investments | $ | 69,953,497 | $ | 69,399,062 | $ | 554,435 | $ | — | ||||||||
* See Portfolio of Investments for country breakout.
Sector Allocation | % of Total Long-Term Investments | |||
Consumer Discretionary | 100.0 | % | ||
Total | 100.0 | % | ||
Currency Exposure Diversification | % of Total Investments | |||
Japanese Yen | 26.4 | % | ||
Euro | 24.7 | |||
United States Dollar | 22.5 | |||
Hong Kong Dollar | 16.9 | |||
South Korean Won | 7.9 | |||
British Pound Sterling | 0.6 | |||
Singapore Dollar | 0.5 | |||
New Taiwan Dollar | 0.5 | |||
Total | 100.0 | % | ||
First Trust Cloud Computing ETF (SKYY) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 100.0% | ||||||
Canada — 2.6% | ||||||
760,986 | Open Text Corp. | $ | 38,658,089 | |||
86,295 | Shopify, Inc., Class A (b) | 126,075,269 | ||||
164,733,358 | ||||||
Cayman Islands — 6.6% | ||||||
1,002,556 | Alibaba Group Holding Ltd., ADR (b) | 227,359,650 | ||||
5,491,727 | Kingsoft Cloud Holdings Ltd., ADR (b) (c) | 186,334,297 | ||||
413,693,947 | ||||||
Germany — 1.1% | ||||||
510,985 | SAP SE, ADR (c) | 71,772,953 | ||||
Jersey — 0.6% | ||||||
715,167 | Mimecast Ltd. (b) | 37,939,609 | ||||
Netherlands — 0.7% | ||||||
302,438 | Elastic N.V. (b) | 44,083,363 | ||||
United Kingdom — 1.9% | ||||||
459,762 | Atlassian Corp. PLC, Class A (b) | 118,094,467 | ||||
United States — 86.5% | ||||||
212,560 | Adobe, Inc. (b) | 124,483,638 | ||||
1,252,119 | Akamai Technologies, Inc. (b) | 145,997,075 | ||||
91,015 | Alphabet, Inc., Class A (b) | 222,239,517 | ||||
66,553 | Amazon.com, Inc. (b) | 228,952,968 | ||||
694,062 | Anaplan, Inc. (b) | 36,993,505 | ||||
265,039 | Appfolio, Inc., Class A (b) | 37,423,507 | ||||
790,256 | Appian Corp. (b) (c) | 108,857,764 | ||||
632,055 | Arista Networks, Inc. (b) | 228,999,847 | ||||
972,028 | Asana, Inc., Class A (b) | 60,294,897 | ||||
270,494 | Avalara, Inc. (b) | 43,765,929 | ||||
343,860 | Blackline, Inc. (b) | 38,261,302 | ||||
1,533,727 | Box, Inc., Class A (b) | 39,186,725 | ||||
2,703,301 | Cisco Systems, Inc. | 143,274,953 | ||||
1,243,951 | Citrix Systems, Inc. | 145,878,134 | ||||
435,670 | Cloudflare, Inc., Class A (b) | 46,111,313 | ||||
150,088 | Coupa Software, Inc. (b) | 39,339,566 | ||||
160,932 | Crowdstrike Holdings, Inc., Class A (b) | 40,443,821 | ||||
392,653 | Datadog, Inc., Class A (b) | 40,867,324 | ||||
177,320 | DocuSign, Inc. (b) | 49,573,352 | ||||
1,075,222 | Domo, Inc., Class B (b) | 86,910,194 | ||||
1,307,172 | Dropbox, Inc., Class A (b) | 39,620,383 | ||||
304,264 | Everbridge, Inc. (b) | 41,404,245 | ||||
2,272,800 | Fastly, Inc., Class A (b) | 135,458,880 | ||||
605,609 | Five9, Inc. (b) | 111,062,635 | ||||
11,200,234 | Hewlett Packard Enterprise Co. | 163,299,412 | ||||
212,644 | HubSpot, Inc. (b) | 123,911,912 | ||||
994,883 | International Business Machines Corp. | 145,839,899 | ||||
81,421 | Intuit, Inc. | 39,910,132 | ||||
12,915,879 | Lumen Technologies, Inc. | 175,526,796 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United States (Continued) | ||||||
859,127 | Microsoft Corp. | $ | 232,737,504 | |||
228,199 | MicroStrategy, Inc., Class A (b) (c) | 151,638,236 | ||||
1,838,106 | Momentive Global, Inc. (b) | 38,728,893 | ||||
612,304 | MongoDB, Inc. (b) | 221,360,142 | ||||
1,386,241 | NetApp, Inc. | 113,422,239 | ||||
2,724,243 | Oracle Corp. | 212,055,075 | ||||
98,421 | Palo Alto Networks, Inc. (b) | 36,519,112 | ||||
108,468 | Paycom Software, Inc. (b) | 39,424,864 | ||||
210,512 | Paylocity Holding Corp. (b) | 40,165,690 | ||||
5,630,103 | Pure Storage, Inc., Class A (b) | 109,955,912 | ||||
376,606 | Q2 Holdings, Inc. (b) | 38,632,243 | ||||
369,789 | Qualys, Inc. (b) | 37,234,054 | ||||
10,629,678 | Rackspace Technology, Inc. (b) | 208,447,986 | ||||
450,455 | salesforce.com, Inc. (b) | 110,032,643 | ||||
226,331 | ServiceNow, Inc. (b) | 124,380,201 | ||||
605,132 | Smartsheet, Inc., Class A (b) | 43,763,146 | ||||
150,195 | Snowflake, Inc., Class A (b) | 36,317,151 | ||||
884,929 | Splunk, Inc. (b) | 127,943,035 | ||||
514,998 | Sprout Social, Inc., Class A (b) | 46,051,121 | ||||
827,382 | Tabula Rasa HealthCare, Inc. (b) (c) | 41,369,100 | ||||
319,207 | Twilio, Inc., Class A (b) | 125,818,631 | ||||
122,712 | Veeva Systems, Inc., Class A (b) | 38,157,296 | ||||
1,358,584 | VMware, Inc., Class A (b) (c) | 217,332,682 | ||||
156,309 | Workday, Inc., Class A (b) | 37,317,211 | ||||
376,725 | Workiva, Inc. (b) | 41,940,794 | ||||
261,606 | Zendesk, Inc. (b) | 37,760,210 | ||||
107,837 | Zoom Video Communications, Inc., Class A (b) | 41,736,154 | ||||
184,095 | Zscaler, Inc. (b) | 39,775,566 | ||||
5,473,906,516 | ||||||
Total Common Stocks — 100.0% | 6,324,224,213 | |||||
(Cost $4,822,737,994) | ||||||
Money Market Funds — 5.7% | ||||||
361,551,353 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (d) (e) | 361,551,353 | ||||
(Cost $361,551,353) | ||||||
Total Investments — 105.7% | 6,685,775,566 | |||||
(Cost $5,184,289,347) (f) | ||||||
Net Other Assets and Liabilities — (5.7)% | (359,065,607 | ) | ||||
Net Assets — 100.0% | $ | 6,326,709,959 |
First Trust Cloud Computing ETF (SKYY) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Non-income producing security. |
(c) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $347,037,002 and the total value of the collateral held by the Fund is $361,551,353. |
(d) | Rate shown reflects yield as of June 30, 2021. |
(e) | This security serves as collateral for securities on loan. |
(f) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $1,604,640,736 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $103,154,517. The net unrealized appreciation was $1,501,486,219. |
ADR | - | American Depositary Receipt |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 6,324,224,213 | $ | — | $ | — | ||||||
Money Market Funds | 361,551,353 | — | — | |||||||||
Total Investments | $ | 6,685,775,566 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Information Technology | 85.2 | % | ||
Consumer Discretionary | 7.2 | |||
Communication Services | 6.3 | |||
Health Care | 1.3 | |||
Total | 100.0 | % | ||
First Trust International Equity Opportunities ETF (FPXI) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 100.0% | ||||||
Australia — 2.1% | ||||||
1,999,594 | Netwealth Group Ltd. | $ | 25,718,106 | |||
Bermuda — 1.6% | ||||||
1,419,916 | Liberty Latin America Ltd., Class C (b) | 20,020,816 | ||||
Brazil — 2.1% | ||||||
2,130,815 | Locaweb Servicos de Internet S.A. (c) (d) | 11,575,580 | ||||
1,433,951 | Pet Center Comercio e Participacoes S.A. | 7,354,556 | ||||
1,413,357 | Petrobras Distribuidora S.A. | 7,570,033 | ||||
26,500,169 | ||||||
Canada — 2.1% | ||||||
318,459 | Lightspeed POS, Inc. (b) | 26,653,857 | ||||
Cayman Islands — 25.5% | ||||||
269,021 | Bilibili, Inc., ADR (b) | 32,777,519 | ||||
4,051,658 | Country Garden Services Holdings Co., Ltd. | 43,781,681 | ||||
420,096 | Huazhu Group Ltd., ADR (b) | 22,185,270 | ||||
4,239,592 | JS Global Lifestyle Co., Ltd. (c) (d) | 11,930,900 | ||||
727,112 | Meituan, Class B (b) (c) (d) | 30,004,853 | ||||
398,942 | Pagseguro Digital Ltd., Class A (b) | 22,308,837 | ||||
247,764 | Sea Ltd., ADR (b) | 68,035,994 | ||||
3,765,562 | Sunac Services Holdings Ltd. (c) (d) | 13,991,791 | ||||
1,484,106 | Wuxi Biologics Cayman, Inc. (b) (c) (d) | 27,199,913 | ||||
6,580,538 | Xiaomi Corp., Class B (b) (c) (d) | 22,883,521 | ||||
140,716 | Zai Lab Ltd., ADR (b) | 24,905,325 | ||||
320,005,604 | ||||||
China — 5.5% | ||||||
320,550 | CanSino Biologics, Inc., Class H (b) (c) (d) | 17,034,238 | ||||
3,089,257 | China Merchants Bank Co., Ltd., Class H | 26,359,527 | ||||
963,764 | Pharmaron Beijing Co., Ltd., Class H (c) (d) | 25,694,415 | ||||
69,088,180 | ||||||
Denmark — 1.6% | ||||||
477,647 | Genmab A/S, ADR (b) | 19,502,327 | ||||
France — 3.9% | ||||||
331,986 | Danone S.A. | 23,371,090 | ||||
434,473 | La Francaise des Jeux SAEM (c) (d) | 25,542,386 | ||||
48,913,476 | ||||||
Germany — 7.2% | ||||||
100,062 | BioNTech SE, ADR (b) | 22,401,881 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Germany (Continued) | ||||||
200,378 | HelloFresh SE (b) | $ | 19,478,257 | |||
789,503 | Siemens Healthineers AG (c) (d) | 48,380,287 | ||||
90,260,425 | ||||||
Israel — 1.7% | ||||||
231,655 | Inmode Ltd. (b) | 21,933,095 | ||||
Italy — 2.7% | ||||||
1,537,868 | Nexi S.p.A. (b) (c) (d) | 33,753,408 | ||||
Japan — 10.0% | ||||||
197,946 | Freee KK (b) | 18,191,896 | ||||
493,316 | Mercari, Inc. (b) | 26,198,878 | ||||
4,188,317 | SoftBank Corp. | 54,797,415 | ||||
1,544,671 | Takeda Pharmaceutical Co., Ltd., ADR | 25,996,813 | ||||
125,185,002 | ||||||
Luxembourg — 0.6% | ||||||
3,481,614 | Samsonite International S.A. (b) (c) (d) | 7,120,800 | ||||
Malaysia — 0.8% | ||||||
11,422,040 | MR DIY Group M Bhd (c) (d) | 9,877,183 | ||||
Mexico — 1.9% | ||||||
8,899,092 | Becle SAB de CV | 23,517,817 | ||||
Netherlands — 7.5% | ||||||
29,265 | Adyen N.V. (b) (c) (d) | 71,501,194 | ||||
230,472 | Prosus N.V. | 22,537,530 | ||||
94,038,724 | ||||||
Norway — 1.3% | ||||||
830,946 | Adevinta ASA (b) | 15,923,775 | ||||
Saudi Arabia — 9.2% | ||||||
612,441 | Dr. Sulaiman Al Habib Medical Services Group Co. | 26,681,827 | ||||
9,526,175 | Saudi Arabian Oil Co. (c) (d) | 89,150,734 | ||||
115,832,561 | ||||||
Sweden — 5.4% | ||||||
394,655 | Embracer Group AB (b) | 10,675,574 | ||||
614,436 | EQT AB | 22,299,789 | ||||
909,862 | Nordnet AB | 15,357,330 | ||||
1,183,558 | Sinch AB (b) (c) (d) | 19,914,742 | ||||
68,247,435 | ||||||
Switzerland — 1.3% | ||||||
275,375 | Dufry AG (b) | 16,309,700 | ||||
Thailand — 0.8% | ||||||
5,208,100 | SCG Packaging PCL | 10,074,952 | ||||
United Arab Emirates — 0.0% | ||||||
28,680 | Abu Dhabi National Oil Co. for Distribution PJSC | 33,809 | ||||
First Trust International Equity Opportunities ETF (FPXI) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United Kingdom — 1.8% | ||||||
3,154,078 | M&G PLC | $ | 9,986,976 | |||
4,803,478 | Virgin Money UK PLC (b) | 13,192,936 | ||||
23,179,912 | ||||||
United States — 2.4% | ||||||
727,586 | Coupang, Inc. (b) (e) | 30,427,646 | ||||
Virgin Islands — 1.0% | ||||||
229,479 | Capri Holdings Ltd. (b) | 13,123,904 | ||||
Total Common Stocks — 100.0% | 1,255,242,683 | |||||
(Cost $1,113,265,844) | ||||||
Money Market Funds — 3.3% | ||||||
41,496,930 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (f) (g) | 41,496,930 | ||||
(Cost $41,496,930) | ||||||
Total Investments — 103.3% | 1,296,739,613 | |||||
(Cost $1,154,762,774) (h) | ||||||
Net Other Assets and Liabilities — (3.3)% | (41,231,389 | ) | ||||
Net Assets — 100.0% | $ | 1,255,508,224 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Non-income producing security. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | All or a portion of this security is on loan for securities lending. The remaining contractual maturity of all of the securities lending transactions is overnight and continuous. The aggregate value of such securities is $40,306,116 and the total value of the collateral held by the Fund is $41,496,930. |
(f) | Rate shown reflects yield as of June 30, 2021. |
(g) | This security serves as collateral for securities on loan. |
(h) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $158,572,528 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $16,595,689. The net unrealized appreciation was $141,976,839. |
ADR | - | American Depositary Receipt |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 1,255,242,683 | $ | — | $ | — | ||||||
Money Market Funds | 41,496,930 | — | — | |||||||||
Total Investments | $ | 1,296,739,613 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
First Trust International Equity Opportunities ETF (FPXI) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Sector Allocation | % of Total Long-Term Investments | |||
Health Care | 20.7 | % | ||
Consumer Discretionary | 19.9 | |||
Information Technology | 18.1 | |||
Communication Services | 16.1 | |||
Financials | 9.0 | |||
Energy | 7.1 | |||
Consumer Staples | 3.7 | |||
Industrials | 3.5 | |||
Real Estate | 1.1 | |||
Materials | 0.8 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 28.2 | % | ||
Euro | 18.9 | |||
Hong Kong Dollar | 17.4 | |||
Saudi Riyal | 8.9 | |||
Japanese Yen | 7.6 | |||
Swedish Krona | 5.3 | |||
Canadian Dollar | 2.0 | |||
Brazilian Real | 2.0 | |||
Australian Dollar | 2.0 | |||
Mexican Peso | 1.8 | |||
British Pound Sterling | 1.8 | |||
Swiss Franc | 1.3 | |||
Norwegian Krone | 1.2 | |||
Thai Baht | 0.8 | |||
Malaysian Ringgit | 0.8 | |||
United Arab Emirates Dirham | 0.0 | * | ||
Total | 100.0 | % | ||
*Amount is less than 0.1% | ||||
First Trust Nasdaq Cybersecurity ETF (CIBR) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.9% | ||||||
France — 1.3% | ||||||
514,975 | Thales S.A. | $ | 52,538,625 | |||
India — 0.4% | ||||||
773,707 | Infosys Ltd., ADR | 16,394,851 | ||||
Ireland — 6.0% | ||||||
817,142 | Accenture PLC, Class A | 240,885,290 | ||||
Israel — 6.3% | ||||||
985,496 | Check Point Software Technologies Ltd. (b) | 114,445,651 | ||||
911,037 | CyberArk Software Ltd. (b) | 118,680,790 | ||||
587,889 | Radware Ltd. (b) | 18,095,223 | ||||
514,363 | Tufin Software Technologies Ltd. (b) | 4,690,991 | ||||
255,912,655 | ||||||
Japan — 1.5% | ||||||
1,183,973 | Trend Micro, Inc. | 62,025,499 | ||||
Jersey — 1.4% | ||||||
1,092,222 | Mimecast Ltd. (b) | 57,942,377 | ||||
United Kingdom — 3.4% | ||||||
5,132,304 | Avast PLC (c) (d) | 34,773,381 | ||||
13,203,131 | BAE Systems PLC | 95,337,378 | ||||
283,225 | Ultra Electronics Holdings PLC | 8,971,867 | ||||
139,082,626 | ||||||
United States — 79.6% | ||||||
1,148,971 | A10 Networks, Inc. (b) | 12,937,413 | ||||
1,009,407 | Akamai Technologies, Inc. (b) | 117,696,856 | ||||
1,357,393 | Booz Allen Hamilton Holding Corp. | 115,622,736 | ||||
4,358,546 | Cisco Systems, Inc. | 231,002,938 | ||||
1,404,854 | Cloudflare, Inc., Class A (b) | 148,689,747 | ||||
1,037,882 | Crowdstrike Holdings, Inc., Class A (b) | 260,830,125 | ||||
621,717 | F5 Networks, Inc. (b) | 116,049,695 | ||||
5,153,472 | FireEye, Inc. (b) | 104,203,204 | ||||
527,533 | Fortinet, Inc. (b) | 125,653,085 | ||||
4,378,394 | Juniper Networks, Inc. | 119,749,076 | ||||
1,121,996 | Leidos Holdings, Inc. | 113,433,796 | ||||
304,752 | ManTech International Corp., Class A | 26,373,238 | ||||
1,036,520 | Okta, Inc. (b) | 253,615,714 | ||||
362,705 | OneSpan, Inc. (b) | 9,263,486 | ||||
317,379 | Palo Alto Networks, Inc. (b) | 117,763,478 | ||||
667,117 | Proofpoint, Inc. (b) | 115,918,250 | ||||
806,995 | Qualys, Inc. (b) | 81,256,327 | ||||
1,149,031 | Rapid7, Inc. (b) | 108,732,803 | ||||
1,354,221 | Ribbon Communications, Inc. (b) | 10,305,622 | ||||
2,271,842 | Sailpoint Technologies Holdings, Inc. (b) | 116,022,971 | ||||
854,108 | Science Applications International Corp. | 74,930,895 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
United States (Continued) | ||||||
951,173 | Splunk, Inc. (b) | $ | 137,520,592 | |||
1,832,405 | Tenable Holdings, Inc. (b) | 75,769,947 | ||||
2,377,215 | Varonis Systems, Inc. (b) | 136,975,128 | ||||
524,219 | VeriSign, Inc. (b) | 119,359,424 | ||||
730,146 | VMware, Inc., Class A (b) | 116,801,456 | ||||
1,407,646 | Zix Corp. (b) | 9,923,904 | ||||
1,187,259 | Zscaler, Inc. (b) | 256,519,180 | ||||
3,232,921,086 | ||||||
Total Investments — 99.9% | 4,057,703,009 | |||||
(Cost $3,118,473,057) (e) | ||||||
Net Other Assets and Liabilities — 0.1% | 4,068,132 | |||||
Net Assets — 100.0% | $ | 4,061,771,141 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Non-income producing security. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $940,277,044 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $1,047,092. The net unrealized appreciation was $939,229,952. |
ADR | - | American Depositary Receipt |
First Trust Nasdaq Cybersecurity ETF (CIBR) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Valuation Inputs | |||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 4,057,703,009 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Information Technology | 88.0 | % | ||
Industrials | 12.0 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 93.8 | % | ||
British Pound Sterling | 3.4 | |||
Japanese Yen | 1.5 | |||
Euro | 1.3 | |||
Total | 100.0 | % | ||
First Trust Exchange-Traded Fund II
Additional Information
June 30, 2021 (Unaudited)
Valuation Inputs
The Funds are subject to fair value accounting standards that define fair value, establish the framework for measuring fair value and provide a three-level hierarchy for fair valuation based upon the inputs to the valuation as of the measurement date. The three levels of the fair value hierarchy are as follows:
• | Level 1 – Level 1 inputs are quoted prices in active markets for identical investments. |
• | Level 2 – Level 2 inputs are observable inputs, either directly or indirectly. (Quoted prices for similar investments, valuations based on interest rates and yield curves, or valuations derived from observable market data.) |
• | Level 3 – Level 3 inputs are unobservable inputs that may reflect the reporting entity’s own assumptions about the assumptions that market participants would use in pricing the investment. |
The inputs or methodologies used for valuing investments are not necessarily an indication of the risk associated with investing in those investments.
Licensing Information
First Trust BICK Index Fund
First Trust Cloud Computing ETF
First Trust Global Engineering and Construction ETF
First Trust Nasdaq Cybersecurity ETF
First Trust NASDAQ Global Auto Index Fund
Nasdaq®, OMX®, NASDAQ OMX®, ISE BICKTM Index, ISE CTA Cloud Computing IndexTM, ISE Global Engineering and ConstructionTM Index, Nasdaq CTA Cybersecurity IndexTM, and NASDAQ Global Auto IndexSM (“the Nasdaq Indexes”) are registered trademarks and service marks of Nasdaq, Inc. (together with its affiliates hereinafter referred to as the “Corporations”) and are licensed for use by First Trust. The Funds have not been passed on by the Corporations as to their legality or suitability. The Funds are not issued, endorsed, sold or promoted by the Corporations. THE CORPORATIONS MAKE NO WARRANTIES AND BEAR NO LIABILITY WITH RESPECT TO THE FUNDS.
First Trust NASDAQ® Clean Edge® Smart Grid Infrastructure Index Fund
First Trust Global Wind Energy ETF
Nasdaq®, NASDAQ OMX®, Clean Edge®, NASDAQ OMX Clean Edge Smart Grid Infrastructure IndexSM, and ISE Clean Edge Global Wind EnergyTM Index (“the Nasdaq Indexes”) are registered trademarks and service marks of Nasdaq, Inc. and Clean Edge, Inc., respectively (together with its affiliates hereinafter referred to as the “Corporations”) and are licensed for use by First Trust. The Funds have not been passed on by the Corporations as to their legality or suitability. The Funds are not issued, endorsed, sold or promoted by the Corporations. THE CORPORATIONS MAKE NO WARRANTIES AND BEAR NO LIABILITY WITH RESPECT TO THE FUNDS.
First Trust Dow Jones Global Select Dividend Index Fund
Dow Jones Global Select Dividend Index (“Index”) is a product of S&P Dow Jones Indices LLC or its affiliates (“SPDJI”) and has been licensed for use by First Trust. Standard & Poor’s® and S&P® are registered trademarks of Standard & Poor’s Financial Services LLC (“S&P”); Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC (“Dow Jones”); and these trademarks have been licensed for use by SPDJI and sublicensed for certain purposes by First Trust. The Fund is not sponsored, endorsed, sold or promoted by SPDJI, Dow Jones, S&P, or their respective affiliates and none of such parties make any representation regarding the advisability of investing in such product nor do they have any liability for any errors, omissions, or interruptions of the Index.
First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund
The First Trust FTSE EPRA/NAREIT Developed Markets Real Estate Index Fund (the “Fund”) has been developed solely by First Trust. The Fund is not in any way connected to or sponsored, endorsed, sold or promoted by the London Stock Exchange Group plc and its group undertakings, including FTSE International Limited (collectively, the “LSE Group”), European Public Real Estate Association (“EPRA”), or the National Association of Real Estate Investments Trusts (“Nareit”) (and together the “Licensor Parties”). FTSE Russell is a trading name of certain of the LSE Group companies. All rights in the FTSE EPRA/NAREIT Developed Index (the “Index”) vest in the Licensor Parties. “FTSE®” and “FTSE Russell®” are trademarks of the relevant LSE Group company and are used by any other LSE Group company under license. “Nareit®” is a trade mark of Nareit, “EPRA®” is a trademark of EPRA and all are used by the LSE Group under license. The Index is calculated by or on behalf of FTSE International Limited or its affiliate, agent or partner. The Licensor Parties do not accept any liability whatsoever to any person arising out of (a) the use of, reliance on or any error in the Index or (b) investment in or operation of the Fund. The Licensor Parties makes no claim, prediction, warranty or representation either as to the results to be obtained from the Fund or the suitability of the Index for the purpose to which it is being put by First Trust.
First Trust Indxx Global Agriculture ETF
First Trust Indxx Global Natural Resources Income ETF
First Trust Indxx NextG ETF
Indxx, Indxx Global Agriculture Index, Indxx Global Natural Resources Income Index, and Indxx 5G & NextG Thematic IndexSM, (“Index”) are trademarks of Indxx, LLC (“Indxx”) and have been licensed for use for certain purposes by First Trust. The Fund is not sponsored, endorsed, sold or promoted by Indxx and Indxx makes no representation regarding the advisability of trading in such product. The Index is determined, composed and calculated by Indxx without regard to First Trust or the Fund.
First Trust International Equity Opportunities ETF
IPOX® and IPOX® International Index are registered international trademarks and service marks of IPOX® Schuster LLC (“IPOX”) and have been licensed for use by First Trust. The Fund is not sponsored, endorsed, sold or promoted by IPOX, and IPOX makes no representation regarding the advisability of trading in such Fund.
First Trust STOXX® European Select Dividend Index Fund
The STOXX® Europe Select Dividend 30 Index (“STOXX Index”) and the trademarks used in the index name are the intellectual property of STOXX Limited, Zurich, Switzerland (“STOXX”), Deutsche Börse Group and/or their licensors. The STOXX Index is used under license from STOXX. The Fund is in no way sponsored, endorsed, sold or promoted by STOXX and/or its licensors and neither STOXX nor its licensors shall have any liability with respect thereto.
First Trust IPOX® Europe Equity Opportunities ETF (FPXE) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 99.8% | ||||||
Austria — 0.5% | ||||||
552 | BAWAG Group AG (b) (c) | $ | 29,375 | |||
Belgium — 0.7% | ||||||
342 | D’ieteren Group | 41,364 | ||||
Cyprus — 1.3% | ||||||
773 | HeadHunter Group PLC, ADR | 32,752 | ||||
789 | Ozon Holdings PLC, ADR (d) | 46,251 | ||||
79,003 | ||||||
Denmark — 5.8% | ||||||
252 | Better Collective A/S (d) | 5,977 | ||||
733 | DSV PANALPINA A/S | 170,941 | ||||
2,030 | Genmab A/S, ADR (d) | 82,885 | ||||
387 | Netcompany Group A/S (b) (c) | 43,969 | ||||
2,111 | Scandinavian Tobacco Group A/S (b) (c) | 43,087 | ||||
346,859 | ||||||
Finland — 1.3% | ||||||
766 | Kojamo OYJ | 17,502 | ||||
1,584 | Terveystalo OYJ (b) (c) | 21,412 | ||||
367 | TietoEVRY OYJ | 11,593 | ||||
911 | Tokmanni Group Corp. | 25,191 | ||||
75,698 | ||||||
France — 7.8% | ||||||
1,815 | Danone S.A. | 127,772 | ||||
696 | Dassault Systemes SE | 168,770 | ||||
2,501 | La Francaise des Jeux SAEM (b) (c) | 147,032 | ||||
281 | Maisons du Monde S.A. (b) (c) (d) | 6,964 | ||||
202 | Talend S.A., ADR (d) | 13,251 | ||||
155 | Valneva SE, ADR (d) | 4,084 | ||||
467,873 | ||||||
Germany — 18.6% | ||||||
632 | About You Holding AG (d) | 19,109 | ||||
791 | BioNTech SE, ADR (d) | 177,089 | ||||
619 | DWS Group GmbH & Co. KGaA (b) (c) | 28,053 | ||||
1,366 | HelloFresh SE (d) | 132,786 | ||||
7,386 | Siemens Healthineers AG (b) (c) | 452,610 | ||||
3,929 | Traton SE | 124,576 | ||||
2,264 | Uniper SE | 83,382 | ||||
3,129 | Vantage Towers AG | 100,769 | ||||
1,118,374 | ||||||
Ireland — 2.1% | ||||||
583 | Adient PLC (d) | 26,352 | ||||
3,112 | nVent Electric PLC | 97,219 | ||||
123,571 | ||||||
Israel — 3.2% | ||||||
166 | Fiverr International Ltd. (d) | 40,254 | ||||
440 | Global-e Online Ltd. (d) | 25,115 |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Israel (Continued) | ||||||
591 | Inmode Ltd. (d) | $ | 55,956 | |||
428 | Kornit Digital Ltd. (d) | 53,213 | ||||
230 | SimilarWeb Ltd. (d) | 4,531 | ||||
356 | ZIM Integrated Shipping Services Ltd. | 15,995 | ||||
195,064 | ||||||
Italy — 5.0% | ||||||
5,006 | Italgas S.p.A. | 32,718 | ||||
9,865 | Nexi S.p.A. (b) (c) (d) | 216,519 | ||||
9,281 | Pirelli & C S.p.A. (b) (c) | 53,880 | ||||
303,117 | ||||||
Jersey — 3.4% | ||||||
1,063 | Aptiv PLC (d) | 167,242 | ||||
617 | Atotech Ltd. (d) | 15,752 | ||||
534 | Janus Henderson Group PLC | 20,724 | ||||
203,718 | ||||||
Luxembourg — 0.8% | ||||||
3,353 | Global Fashion Group S.A. (d) | 50,771 | ||||
Netherlands — 16.4% | ||||||
159 | Adyen N.V. (b) (c) (d) | 388,474 | ||||
2,456 | CTP N.V. (b) (c) (d) | 49,507 | ||||
529 | IMCD N.V. | 84,116 | ||||
268 | MYT Netherlands Parent BV, ADR (d) | 8,155 | ||||
722 | NXP Semiconductors N.V. | 148,530 | ||||
2,985 | Prosus N.V. | 291,899 | ||||
836 | Technip Energies N.V. (d) | 11,459 | ||||
982,140 | ||||||
Norway — 1.7% | ||||||
3,178 | Adevinta ASA (d) | 60,901 | ||||
5,934 | Elkem ASA (b) (c) | 21,585 | ||||
1,036 | Europris ASA (b) (c) | 6,498 | ||||
1,260 | Pexip Holding ASA (d) | 11,254 | ||||
100,238 | ||||||
Spain — 0.3% | ||||||
3,375 | Linea Directa Aseguradora SA Cia de Seguros y Reaseguros | 7,071 | ||||
9,797 | Unicaja Banco S.A. (b) (c) | 10,049 | ||||
17,120 | ||||||
Sweden — 14.7% | ||||||
440 | Ambea AB (b) (c) | 3,275 | ||||
1,261 | Bravida Holding AB (b) (c) | 18,241 | ||||
525 | CELLINK AB, Class B (d) | 26,023 | ||||
372 | Cibus Nordic Real Estate AB | 8,885 | ||||
424 | Cint Group AB (d) | 4,766 | ||||
1,548 | Embracer Group AB (d) | 41,874 | ||||
3,909 | EQT AB | 141,870 | ||||
834 | Evolution AB (b) (c) | 131,794 |
First Trust IPOX® Europe Equity Opportunities ETF (FPXE) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
Sweden (Continued) | ||||||
314 | Hemnet Group AB (d) | $ | 7,063 | |||
403 | Instalco AB (c) | 16,717 | ||||
4,215 | Lifco AB, Class B | 98,503 | ||||
1,399 | Medicover AB, Class B | 38,334 | ||||
486 | MIPS AB (c) | 41,796 | ||||
3,094 | Nordnet AB publ | 52,223 | ||||
1,831 | Oatly Group AB, ADR (d) | 44,786 | ||||
369 | Olink Holding AB, ADR (d) | 12,701 | ||||
4,471 | Sinch AB (b) (c) (d) | 75,230 | ||||
3,203 | Tele2 AB, Class B | 43,639 | ||||
1,617 | Thule Group AB (b) (c) | 71,685 | ||||
879,405 | ||||||
Switzerland — 2.8% | ||||||
843 | Dufry AG (d) | 49,928 | ||||
1,044 | SIG Combibloc Group AG | 28,367 | ||||
278 | VAT Group AG (b) (c) | 92,421 | ||||
170,716 | ||||||
United Kingdom — 11.4% | ||||||
23,252 | Airtel Africa PLC (b) (c) | 24,783 | ||||
1,273 | AJ Bell PLC | 7,639 | ||||
3,894 | Allfunds Group PLC (d) | 67,773 | ||||
310 | Auction Technology Group PLC (d) | 4,940 | ||||
2,843 | Biffa PLC (b) (c) (d) | 12,781 | ||||
6,386 | Cineworld Group PLC (d) | 6,841 | ||||
2,895 | Civitas Social Housing PLC (c) | 4,621 | ||||
12,460 | ConvaTec Group PLC (b) (c) | 41,469 | ||||
3,094 | Dr. Martens PLC (d) | 19,046 | ||||
680 | Endava PLC, ADR (d) | 77,098 | ||||
824 | Energean PLC (d) | 8,138 | ||||
1,532 | Finablr PLC (b) (d) (e) (f) (g) | 0 | ||||
1,418 | Forterra PLC (b) (c) | 5,296 | ||||
6,439 | Just Group PLC (d) | 8,297 | ||||
37,963 | M&G PLC | 120,205 | ||||
2,122 | Moonpig Group PLC (d) | 12,587 | ||||
60,641 | Natwest Group PLC | 170,453 | ||||
3,403 | Network International Holdings PLC (b) (c) (d) | 17,215 | ||||
5,709 | Ninety One PLC | 17,390 | ||||
5,369 | Quilter PLC (b) (c) | 11,048 | ||||
2,538 | Trustpilot Group PLC (b) (c) (d) | 11,986 | ||||
13,363 | Virgin Money UK PLC (d) | 36,702 | ||||
686,308 | ||||||
United States — 0.7% | ||||||
1,729 | Veoneer, Inc. (d) | 39,853 | ||||
Virgin Islands — 1.3% | ||||||
1,404 | Capri Holdings Ltd. (d) | 80,295 | ||||
Total Common Stocks — 99.8% | 5,990,862 | |||||
(Cost $5,123,047) | ||||||
Shares | Description | Value | ||||
Money Market Funds — 0.6% | ||||||
32,903 | Goldman Sachs Financial Square Treasury Obligations Fund - Institutional Class - 0.01% (h) (i) | $ | 32,903 | |||
(Cost $32,903) | ||||||
Total Investments — 100.4% | 6,023,765 | |||||
(Cost $5,155,950) (j) | ||||||
Net Other Assets and Liabilities — (0.4)% | (22,863 | ) | ||||
Net Assets — 100.0% | $ | 6,000,902 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(c) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(d) | Non-income producing security. |
(e) | This security is fair valued by the Advisor’s Pricing Committee in accordance with procedures adopted by the Trust’s Board of Trustees, and in accordance with provisions of the Investment Company Act of 1940, as amended. At June 30, 2021, securities noted as such are valued at $0 or 0.0% of net assets. |
(f) | This security’s value was determined using significant unobservable inputs (see Valuation Inputs in the Additional Information section). |
(g) | Pursuant to procedures adopted by the Trust’s Board of Trustees, this security has been determined to be illiquid by First Trust Advisors, L.P., the Fund’s advisor. |
(h) | Rate shown reflects yield as of June 30, 2021. |
First Trust IPOX® Europe Equity Opportunities ETF (FPXE) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
(i) | This security serves as collateral for securities lending. The corresponding security on loan was sold on June 23, 2021, however, all collateral remained invested in Goldman Sachs Financial Square Treasury Obligations Fund as of June 30, 2021. |
(j) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $905,816 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $38,001. The net unrealized appreciation was $867,815. |
ADR | - | American Depositary Receipt |
Valuation Inputs | ||||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | ||||
Total Value at 6/30/21 | Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | |||||||||||||
Common Stocks: | ||||||||||||||||
United Kingdom | $ | 686,308 | $ | 686,308 | $ | — | $ — | ** | ||||||||
Other Country Categories* | 5,304,554 | 5,304,554 | — | — | ||||||||||||
Money Market Funds | 32,903 | 32,903 | — | — | ||||||||||||
Total Investments | $ | 6,023,765 | $ | 6,023,765 | $ | — | $ — | ** | ||||||||
* | See Portfolio of Investments for country breakout. | |
** | Investment is valued at $0. |
Level 3 Common Stocks are fair valued by the Advisor’s Pricing Committee and are footnoted in the Portfolio of Investments. Level 3 Common Stocks values are based on unobservable and non-quantitative inputs. |
Sector Allocation | % of Total Long-Term Investments | |||
Consumer Discretionary | 25.7 | % | ||
Information Technology | 19.7 | |||
Health Care | 15.3 | |||
Industrials | 13.7 | |||
Financials | 12.2 | |||
Communication Services | 5.1 | |||
Consumer Staples | 3.6 | |||
Utilities | 1.9 | |||
Real Estate | 1.3 | |||
Materials | 1.2 | |||
Energy | 0.3 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
Euro | 46.5 | % | ||
United States Dollar | 22.0 | |||
Swedish Krona | 13.7 | |||
British Pound Sterling | 9.0 | |||
Danish Krone | 4.3 | |||
Swiss Franc | 2.8 | |||
Norwegian Krone | 1.7 | |||
Total | 100.0 | % | ||
First Trust Dow Jones International Internet ETF (FDNI) |
Portfolio of Investments |
June 30, 2021 (Unaudited) |
Shares | Description | Value | ||||
Common Stocks (a) — 96.7% | ||||||
Australia — 1.2% | ||||||
17,904 | Afterpay Ltd. (b) | $ | 1,586,684 | |||
Canada — 9.6% | ||||||
8,514 | Shopify, Inc., Class A (b) | 12,451,416 | ||||
Cayman Islands — 49.7% | ||||||
47,248 | Alibaba Group Holding Ltd., ADR (b) | 10,714,902 | ||||
20,566 | Baidu, Inc., ADR (b) | 4,193,407 | ||||
16,388 | Bilibili, Inc., ADR (b) | 1,996,714 | ||||
67,693 | JD.com, Inc., ADR (b) | 5,402,578 | ||||
64,000 | Kuaishou Technology (b) (c) (d) | 1,605,708 | ||||
315,254 | Meituan, Class B (b) (c) (d) | 13,009,207 | ||||
30,231 | NetEase, Inc., ADR | 3,484,123 | ||||
15,183 | Pagseguro Digital Ltd., Class A (b) | 849,033 | ||||
26,470 | Pinduoduo, Inc., ADR (b) | 3,362,219 | ||||
43,238 | Ping An Healthcare and Technology Co., Ltd. (b) (c) (d) | 538,505 | ||||
20,214 | Sea Ltd., ADR (b) | 5,550,764 | ||||
157,135 | Tencent Holdings Ltd. | 11,819,075 | ||||
34,826 | Trip.com Group Ltd., ADR (b) | 1,234,930 | ||||
29,898 | Vipshop Holdings Ltd., ADR (b) | 600,352 | ||||
64,361,517 | ||||||
Germany — 4.3% | ||||||
14,087 | Delivery Hero SE (b) (c) (d) | 1,860,783 | ||||
11,147 | HelloFresh SE (b) | 1,083,573 | ||||
6,947 | Scout24 AG (c) (d) | 585,843 | ||||
11,982 | TeamViewer AG (b) (c) (d) | 450,666 | ||||
12,794 | Zalando SE (b) (c) (d) | 1,546,627 | ||||
5,527,492 | ||||||
Isle of Man — 0.8% | ||||||
44,156 | Entain PLC (b) | 1,066,167 | ||||
Israel — 1.0% | ||||||
4,226 | Wix.com Ltd. (b) | 1,226,723 | ||||
Japan — 3.8% | ||||||
32,272 | M3, Inc. | 2,356,747 | ||||
34,182 | Nexon Co., Ltd. | 761,822 | ||||
67,773 | Rakuten Group, Inc. | 764,997 | ||||
202,076 | Z Holdings Corp. | 1,012,790 | ||||
4,896,356 | ||||||
Luxembourg — 1.9% | ||||||
8,923 | Spotify Technology S.A. (b) | 2,459,090 | ||||
Netherlands — 8.1% | ||||||
2,294 | Adyen N.V. (b) (c) (d) | 5,604,775 | ||||
31,862 | Prosus N.V. | 3,115,740 | ||||
24,159 | Yandex N.V., Class A (b) | 1,709,249 | ||||
10,429,764 | ||||||
New Zealand — 0.7% | ||||||
9,148 | Xero Ltd. (b) | 940,582 | ||||
Shares | Description | Value | ||||
Common Stocks (a) (Continued) | ||||||
South Africa — 5.3% | ||||||
32,850 | Naspers Ltd., Class N | $ | 6,897,097 | |||
South Korea — 6.3% | ||||||
22,764 | Kakao Corp. | 3,294,883 | ||||
10,903 | NAVER Corp. | 4,042,092 | ||||
1,209 | NCSoft Corp. | 880,327 | ||||
8,217,302 | ||||||
United Kingdom — 4.0% | ||||||
10,204 | Atlassian Corp. PLC, Class A (b) | 2,620,999 | ||||
73,091 | Auto Trader Group PLC (b) (c) (d) | 640,410 | ||||
45,750 | Ocado Group PLC (b) | 1,267,616 | ||||
66,043 | Rightmove PLC | 593,273 | ||||
5,122,298 | ||||||
Total Investments — 96.7% | 125,182,488 | |||||
(Cost $111,238,923) (e) | ||||||
Net Other Assets and Liabilities — 3.3% | 4,284,420 | |||||
Net Assets — 100.0% | $ | 129,466,908 |
(a) | Portfolio securities are categorized based upon their country of incorporation, which can be different from the country categorization of the Fund’s underlying index. For a breakdown of the portfolio securities by sector, please see the Sector Allocation table. |
(b) | Non-income producing security. |
(c) | This security is exempt from registration upon resale under Rule 144A of the Securities Act of 1933, as amended (the “1933 Act”) and may be resold in transactions exempt from registration, normally to qualified institutional buyers. This security is not restricted on the foreign exchange where it trades freely without any additional registration. As such, it does not require the additional disclosure required of restricted securities. |
(d) | This security may be resold to qualified foreign investors and foreign institutional buyers under Regulation S of the 1933 Act. |
(e) | Aggregate cost for financial reporting purposes approximates the aggregate cost for federal income tax purposes. As of June 30, 2021, the aggregate gross unrealized appreciation for all investments in which there was an excess of value over tax cost was $16,121,865 and the aggregate gross unrealized depreciation for all investments in which there was an excess of tax cost over value was $2,178,300. The net unrealized appreciation was $13,943,565. |
ADR | - | American Depositary Receipt |
First Trust Dow Jones International Internet ETF (FDNI) |
Portfolio of Investments (Continued) |
June 30, 2021 (Unaudited) |
Valuation Inputs | |||||
A summary of the inputs used to value the Fund’s investments as of June 30, 2021 is as follows (see Valuation Inputs in the Additional Information section): | |||||
Level 1 Quoted Prices | Level 2 Significant Observable Inputs | Level 3 Significant Unobservable Inputs | ||||||||||
Common Stocks* | $ | 125,182,488 | $ | — | $ | — | ||||||
* See Portfolio of Investments for country breakout. |
Sector Allocation | % of Total Long-Term Investments | |||
Consumer Discretionary | 41.5 | % | ||
Communication Services | 35.6 | |||
Information Technology | 20.6 | |||
Health Care | 2.3 | |||
Total | 100.0 | % |
Currency Exposure Diversification | % of Total Investments | |||
United States Dollar | 36.3 | % | ||
Hong Kong Dollar | 21.5 | |||
Euro | 11.4 | |||
Canadian Dollar | 9.9 | |||
South Korean Won | 6.6 | |||
South African Rand | 5.5 | |||
Japanese Yen | 3.9 | |||
British Pound Sterling | 2.9 | |||
Australian Dollar | 2.0 | |||
Total | 100.0 | % | ||
First Trust Exchange-Traded Fund II
Additional Information
June 30, 2021 (Unaudited)
Valuation Inputs
The Funds are subject to fair value accounting standards that define fair value, establish the framework for measuring fair value and provide a three-level hierarchy for fair valuation based upon the inputs to the valuation as of the measurement date. The three levels of the fair value hierarchy are as follows:
• | Level 1 – Level 1 inputs are quoted prices in active markets for identical investments. |
• | Level 2 – Level 2 inputs are observable inputs, either directly or indirectly. (Quoted prices for similar investments, valuations based on interest rates and yield curves, or valuations derived from observable market data.) |
• | Level 3 – Level 3 inputs are unobservable inputs that may reflect the reporting entity’s own assumptions about the assumptions that market participants would use in pricing the investment. |
The inputs or methodologies used for valuing investments are not necessarily an indication of the risk associated with investing in those investments.
Licensing Information
First Trust Dow Jones International Internet ETF (FDNI)
Dow Jones International Internet Index (“Index”) is a product of S&P Dow Jones Indices LLC or its affiliates (“SPDJI”) and has been licensed for use by First Trust. Standard & Poor’s® and S&P® are registered trademarks of Standard & Poor’s Financial Services LLC (“S&P”); Dow Jones® is a registered trademark of Dow Jones Trademark Holdings LLC (“Dow Jones”); and these trademarks have been licensed for use by SPDJI and sublicensed for certain purposes by First Trust. The Fund is not sponsored, endorsed, sold or promoted by SPDJI, Dow Jones, S&P, or their respective affiliates and none of such parties make any representation regarding the advisability of investing in such product nor do they have any liability for any errors, omissions, or interruptions of the Index.
First Trust IPOX® Europe Equity Opportunities ETF (FPXE)
IPOX® and IPOX®-100 Europe Index are registered international trademarks and service marks of IPOX® Schuster LLC (“IPOX”) and have been licensed for use by First Trust. The Fund is not sponsored, endorsed, sold or promoted by IPOX, and IPOX makes no representation regarding the advisability of trading in such Fund.